Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Douglas Covington Osborn | 867592 | 6 | 07/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Wiley | 4547791 | 2 | 06/18/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicole Phui Vong | 5986062 | 2 | 06/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Mary Ryba Spurgas | 4883684 | 2 | 06/02/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian David Emery | 4371229 | 3 | 05/29/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erez Libschtein | 2599777 | 3 | 05/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Peter Flannery | 4709256 | 1 | 04/24/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Catron | 5067827 | 1 | 03/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Brodsky | 4560939 | 1 | 12/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shane Phillips | 5989339 | 1 | 11/20/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |