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 |
|---|---|---|---|---|---|---|---|---|
| Manish Mukhi | 2759787 | 2 | 10/15/2019 | Customer Dispute | Denied | $40,335.10 | $0.00 | See FINRA Report |
| John Joseph Yetman | 1036486 | 3 | 10/15/2019 | Customer Dispute | Denied | $40,335.10 | $0.00 | See FINRA Report |
| Steven Harry Prottsman | 1436975 | 1 | 10/08/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Dean Hammitt | 5578119 | 1 | 10/08/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Notermann | 1549413 | 4 | 10/07/2019 | Customer Dispute | Denied | $7,027.00 | $0.00 | See FINRA Report |
| Mark Thomas Dorsey | 3081604 | 1 | 10/03/2019 | Customer Dispute | Denied | $18,192.50 | $0.00 | See FINRA Report |
| Scott Martin Rzesa | 5060391 | 1 | 09/27/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Betsy Lynn Billard | 2694374 | 2 | 09/23/2019 | Customer Dispute | Denied | $426,724.00 | $0.00 | See FINRA Report |
| William Perry Foster | 2096122 | 1 | 09/23/2019 | Customer Dispute | Denied | $426,724.00 | $0.00 | See FINRA Report |
| Michael James Loerch | 2377648 | 3 | 09/19/2019 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |