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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy L Darstek | 5616975 | 1 | 09/19/2019 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James Leon Stein | 725513 | 1 | 09/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Francis Lynch | 1806466 | 1 | 09/04/2019 | Customer Dispute | Award / Judgment | $6,250.00 | $6,575.00 | See FINRA Report |
| Laura Zaragoza Guerrero | 4560276 | 1 | 08/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darren Bobley | 2206017 | 3 | 08/27/2019 | Customer Dispute | Denied | $6,300.00 | $0.00 | See FINRA Report |
| Sharon Lee Hyer | 1950226 | 2 | 08/27/2019 | Customer Dispute | Denied | $13,100.00 | $0.00 | See FINRA Report |
| Steve Walter Marciniak | 4154796 | 4 | 08/19/2019 | Customer Dispute | Denied | $20,384.80 | $0.00 | See FINRA Report |
| Scott Ray Minton | 2947003 | 1 | 08/14/2019 | Customer Dispute | Denied | $8,874.95 | $0.00 | See FINRA Report |
| Maximilian Guido Roth | 842683 | 2 | 08/09/2019 | Customer Dispute | Denied | $320,304.00 | $0.00 | See FINRA Report |
| Vincent Frank Parascandola | 5948870 | 2 | 08/05/2019 | Customer Dispute | Denied | $36,053.00 | $0.00 | See FINRA Report |