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 |
|---|---|---|---|---|---|---|---|---|
| Paul Allen Berkman | 1002769 | 5 | 07/16/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gordon Scott Shalek | 1557601 | 3 | 07/16/2020 | Customer Dispute | Denied | $7,886.70 | $0.00 | See FINRA Report |
| Steven Daniel Felton | 1348440 | 3 | 07/02/2020 | Customer Dispute | Denied | $450,000.00 | $0.00 | See FINRA Report |
| John Frederick McLaughlin | 1407726 | 3 | 06/29/2020 | Customer Dispute | Denied | $54,000.00 | $0.00 | See FINRA Report |
| Robert Louis Nagy | 2492917 | 4 | 06/23/2020 | Customer Dispute | Settled | $15,153.90 | $0.00 | See FINRA Report |
| Christopher James Cueter | 1571102 | 1 | 06/17/2020 | Customer Dispute | Settled | $6,921.00 | $0.00 | See FINRA Report |
| Mark Lee Dickerson | 2809838 | 1 | 06/11/2020 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| William Earl Penland | 3029474 | 3 | 06/11/2020 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Craig Anthony Guinta | 4303202 | 1 | 06/01/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ashley Lynn Lang | 4215199 | 1 | 05/11/2020 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |