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 |
|---|---|---|---|---|---|---|---|---|
| Jill April Baker | 4700486 | 1 | 08/16/2018 | Customer Dispute | Denied | $12,381.00 | $0.00 | See FINRA Report |
| Roy Chuck Waugh | 2130562 | 3 | 07/19/2018 | Customer Dispute | Denied | $260,725.00 | $0.00 | See FINRA Report |
| Peter J Ruhl | 6031054 | 1 | 07/17/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert James Roth | 1897551 | 3 | 07/09/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Scott Alan Sanders | 3063288 | 3 | 07/09/2018 | Customer Dispute | Award / Judgment | $193,281.00 | $0.00 | See FINRA Report |
| Adam Mitchell Klein | 5238386 | 1 | 07/06/2018 | Customer Dispute | Denied | $9,048.01 | $0.00 | See FINRA Report |
| Robert L Book | 4287199 | 1 | 07/03/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mitchell Steven Rock | 1451592 | 9 | 07/03/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Ronald Ryan McCallum | 4949468 | 1 | 07/02/2018 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Daniel A Gamm | 4110333 | 1 | 06/26/2018 | Customer Dispute | Denied | $5,816.10 | $0.00 | See FINRA Report |