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 |
|---|---|---|---|---|---|---|---|---|
| Angela McCarthy | 2266562 | 1 | 09/18/2020 | Customer Dispute | Award / Judgment | $79,309.00 | $0.00 | See FINRA Report |
| Ted Arthur Boutis | 2951760 | 4 | 09/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Cameron Monckton | 2252224 | 5 | 09/09/2020 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Samuel Ray Head | 2456312 | 5 | 09/09/2020 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Kevin Scott | 2677403 | 4 | 09/04/2020 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Gary David Ginsberg | 1175258 | 5 | 09/03/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher W Porter | 1911339 | 2 | 08/31/2020 | Customer Dispute | Settled | $87,000.00 | $0.00 | See FINRA Report |
| Michael William Snyder | 4937182 | 3 | 08/25/2020 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Thomas Joachim Glavin | 3248297 | 3 | 08/18/2020 | Customer Dispute | Denied | $32,491.20 | $0.00 | See FINRA Report |
| Thomas Anton Fons | 2738064 | 1 | 08/14/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |