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 |
|---|---|---|---|---|---|---|---|---|
| David Robert Topper | 5581608 | 1 | 12/07/2020 | Customer Dispute | Settled | $77,941.00 | $0.00 | See FINRA Report |
| Michael Sandberg | 1949867 | 11 | 12/07/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lawrence Michael Margolin | 2772361 | 4 | 12/07/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Aaron Lee Turner | 2252485 | 4 | 11/30/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bert Lee Hor | 2809371 | 2 | 11/19/2020 | Customer Dispute | Denied | $10,563.90 | $0.00 | See FINRA Report |
| Kevin Douglas Houser | 2513167 | 6 | 11/16/2020 | Customer Dispute | Settled | $358,000.00 | $0.00 | See FINRA Report |
| Vincent Devos La Cava | 1878332 | 1 | 11/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Douglas Houser | 2513167 | 6 | 11/10/2020 | Customer Dispute | Withdrawn | $292,000.00 | $0.00 | See FINRA Report |
| Karl Christopher von Brockdorff | 4855471 | 1 | 10/31/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Brian Keith Bausman | 2949470 | 2 | 10/30/2020 | Customer Dispute | Settled | $8,260.42 | $0.00 | See FINRA Report |