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 |
|---|---|---|---|---|---|---|---|---|
| Rodney A Meyering | 4398689 | 2 | 07/01/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Richard Stearns Alles | 1098698 | 1 | 06/14/2019 | Customer Dispute | Denied | $409,000.00 | $0.00 | See FINRA Report |
| Jeffrey R Esker | 2570455 | 1 | 06/13/2019 | Customer Dispute | Denied | $320,304.00 | $0.00 | See FINRA Report |
| Ipcit Hasmukh Shah | 2013915 | 1 | 06/10/2019 | Customer Dispute | Denied | $7,646.49 | $0.00 | See FINRA Report |
| Renee Annette Hanson | 1229288 | 2 | 06/02/2019 | Customer Dispute | Denied | $5,941.50 | $0.00 | See FINRA Report |
| Gary David Ginsberg | 1175258 | 5 | 05/22/2019 | Customer Dispute | Settled | $151,700.00 | $0.00 | See FINRA Report |
| Jason Andrew Taub | 2100260 | 4 | 05/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vernos Kenneth Williams | 4874225 | 2 | 05/08/2019 | Customer Dispute | Award / Judgment | $40,459.00 | $0.00 | See FINRA Report |
| Bradley Leo Renberg | 2155253 | 5 | 05/08/2019 | Customer Dispute | Settled | $380,000.00 | $0.00 | See FINRA Report |
| Tracy Goughnour Aufleger | 2317989 | 6 | 05/06/2019 | Customer Dispute | Denied | $37,304.10 | $0.00 | See FINRA Report |