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 |
|---|---|---|---|---|---|---|---|---|
| Michael Thomas Bailey | 1661367 | 2 | 07/11/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark D Permenter | 1571527 | 2 | 07/06/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jennifer A Marcontell | 4008873 | 2 | 07/06/2022 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Samantha Elizabeth Witthoft | 5345360 | 1 | 06/24/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jason M Platt | 5706076 | 1 | 06/16/2022 | Customer Dispute | Denied | $28,640.00 | $0.00 | See FINRA Report |
| Jennifer A Marcontell | 4008873 | 2 | 06/08/2022 | Customer Dispute | Settled | $188,255.00 | $0.00 | See FINRA Report |
| Donald Lee Herndon | 2240766 | 2 | 06/02/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Gerard Sonntag | 1939350 | 2 | 05/26/2022 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Richard Francis Powell | 366752 | 1 | 05/19/2022 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kory Kevin Kleppe | 3131648 | 1 | 05/18/2022 | Customer Dispute | Denied | $15,334.90 | $0.00 | See FINRA Report |