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 |
|---|---|---|---|---|---|---|---|---|
| Anthony John Salerno | 1761733 | 4 | 09/05/2017 | Customer Dispute | Settled | $230,041.00 | $0.00 | See FINRA Report |
| Derek Robert Schanhofer | 2804678 | 3 | 08/30/2017 | Customer Dispute | Denied | $44,076.10 | $0.00 | See FINRA Report |
| David Clay Horan | 4634031 | 2 | 08/29/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Clay Horan | 4634031 | 2 | 08/29/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1536729 | 8 | 08/23/2017 | Customer Dispute | Denied | $43,661.70 | $0.00 | See FINRA Report |
| Brian Francis Costello | 1744360 | 3 | 08/18/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Harold Jay Lauber | 811265 | 3 | 08/17/2017 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Patrick George Colligan | 1716546 | 2 | 08/10/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Edgar Bates | 2612645 | 1 | 08/07/2017 | Customer Dispute | Dismissed | $460,000.00 | $0.00 | See FINRA Report |
| John Edward Venable | 3267795 | 1 | 08/03/2017 | Customer Dispute | Closed-No Action | $242,000.00 | $0.00 | See FINRA Report |