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 |
|---|---|---|---|---|---|---|---|---|
| Richard Paul Martin | 1536729 | 8 | 04/29/2019 | Customer Dispute | Denied | $13,763.60 | $0.00 | See FINRA Report |
| Alan Cormack Holt | 1497129 | 4 | 04/25/2019 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Sylvia Jean Frattallone | 2530542 | 3 | 04/17/2019 | Customer Dispute | Denied | $352,575.00 | $0.00 | See FINRA Report |
| Joseph William Ellis | 2427967 | 2 | 04/15/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Richard Jones | 2956670 | 1 | 04/15/2019 | Customer Dispute | Settled | $72,952.00 | $0.00 | See FINRA Report |
| Gautam B Bose | 2426395 | 3 | 04/04/2019 | Customer Dispute | Closed-No Action | $59,000.00 | $0.00 | See FINRA Report |
| C Dino Lembesis | 2722933 | 2 | 04/03/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Carmen Smith Lance | 4980630 | 3 | 04/01/2019 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Amanda Ashley Hale | 4072033 | 4 | 03/19/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kurt Douglas Sharp | 4611426 | 1 | 03/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |