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 |
|---|---|---|---|---|---|---|---|---|
| William Earl Penland | 3029474 | 3 | 08/11/2020 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Lawrence Jan Rosen | 3227582 | 1 | 08/11/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James Lowell Ware | 5446798 | 1 | 08/09/2020 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Gary David Ginsberg | 1175258 | 5 | 08/08/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Glen Russell Wilk | 1951992 | 1 | 08/04/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Jerome Manzardo | 2286630 | 2 | 08/04/2020 | Customer Dispute | Denied | $7,482.18 | $0.00 | See FINRA Report |
| Kevin Douglas Houser | 2513167 | 6 | 07/21/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| George Louis Vilfordi | 704800 | 1 | 07/21/2020 | Customer Dispute | Denied | $501,704.00 | $0.00 | See FINRA Report |
| Aaron Joseph Vilfordi | 6024385 | 1 | 07/21/2020 | Customer Dispute | Denied | $501,704.00 | $0.00 | See FINRA Report |
| Leon Albert Roat | 2214085 | 3 | 07/20/2020 | Customer Dispute | Denied | $220,000.00 | $0.00 | See FINRA Report |