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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Scott Miller | 2112508 | 2 | 03/13/2020 | Customer Dispute | Denied | $38,721.40 | $0.00 | See FINRA Report |
| Clarence William Row | 1485294 | 2 | 03/12/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sandy Jukel | 1193099 | 6 | 03/11/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francisco Javier Cabral | 5257195 | 2 | 03/09/2020 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Jean-Pierre Fernandez | 5446400 | 1 | 02/28/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James John Beste | 4303186 | 1 | 02/28/2020 | Customer Dispute | Withdrawn | $84,242.20 | $0.00 | See FINRA Report |
| Frank Joseph Coussens | 730556 | 3 | 02/27/2020 | Customer Dispute | Denied | $29,918.60 | $0.00 | See FINRA Report |
| Charles Chae Lee | 3245991 | 1 | 02/18/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Manish Mukhi | 2759787 | 2 | 02/10/2020 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Peter Michael Heidt | 2843626 | 1 | 02/08/2020 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |