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 |
|---|---|---|---|---|---|---|---|---|
| Inderpal Singh Anand | 2875643 | 1 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |
| Mandy Min Woo | 4179009 | 1 | 09/17/2022 | Customer Dispute | Denied | $230,000.00 | $0.00 | See FINRA Report |
| Douglas Bradford Gage | 2409551 | 1 | 09/16/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Nicholas Timothy O'Gwin | 4940059 | 1 | 09/14/2022 | Customer Dispute | Denied | $125,000,000.00 | $0.00 | See FINRA Report |
| Hendra Tanuwijaya | 2056380 | 2 | 09/06/2022 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |
| Ted Arthur Boutis | 2951760 | 4 | 09/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dale Peter Silbaugh | 734877 | 3 | 08/29/2022 | Customer Dispute | Denied | $235,676.00 | $0.00 | See FINRA Report |
| Augustine Dominique Choi | 4278755 | 6 | 08/15/2022 | Customer Dispute | Settled | $26,252.90 | $0.00 | See FINRA Report |
| Robert Edward Armstrong | 4732005 | 4 | 08/15/2022 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Rudolf Lucian Molnar | 3211892 | 4 | 07/29/2022 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |