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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Anthony Sailus | 2231013 | 1 | 12/21/2017 | Customer Dispute | Denied | $32,400.00 | $0.00 | See FINRA Report |
| Daniel Eamon Driscoll | 5456193 | 1 | 11/30/2017 | Customer Dispute | Denied | $25,436.40 | $0.00 | See FINRA Report |
| Paul Gordon | 1027219 | 5 | 11/30/2017 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Lipscomb | 2286249 | 8 | 11/29/2017 | Customer Dispute | Award / Judgment | $46,006.00 | $0.00 | See FINRA Report |
| Michael Anthony Lipscomb | 2286249 | 8 | 11/29/2017 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Zak William Shapiro | 2982878 | 6 | 11/28/2017 | Customer Dispute | Settled | $287,074.00 | $0.00 | See FINRA Report |
| Brian J Coleman | 5334265 | 2 | 11/27/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Bruce Cline | 824874 | 7 | 11/24/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Notermann | 1549413 | 4 | 11/22/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Brian Hunter | 2317611 | 1 | 11/16/2017 | Customer Dispute | Settled | $125,060.00 | $0.00 | See FINRA Report |