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 |
|---|---|---|---|---|---|---|---|---|
| Thomas John Eisenhuth | 4364320 | 1 | 06/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Tao | 2505955 | 4 | 06/08/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Roderick North | 723949 | 3 | 06/08/2018 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Hanson Aime | 2903017 | 5 | 06/07/2018 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Gregory Patrick Barbaro | 3131785 | 3 | 06/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Sanders | 3063288 | 3 | 05/25/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony John Salerno | 1761733 | 4 | 05/17/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Pepe | 1172861 | 9 | 05/10/2018 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Brandon Bay | 2631764 | 4 | 05/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Corbin Munn | 2250062 | 2 | 05/09/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |