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 |
|---|---|---|---|---|---|---|---|---|
| Sylvia Jean Frattallone | 2530542 | 3 | 08/02/2017 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Jared Bryce Roskelley | 3139812 | 6 | 07/28/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kenneth Kim Krause | 1706165 | 2 | 07/27/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Markos J Pappas | 5904140 | 1 | 07/21/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gary Alan Richman | 726786 | 5 | 07/18/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Brandon Lavitt | 4704621 | 1 | 07/17/2017 | Customer Dispute | Denied | $7,493.00 | $0.00 | See FINRA Report |
| Augustine Dominique Choi | 4278755 | 6 | 07/16/2017 | Customer Dispute | Settled | $17,509.70 | $0.00 | See FINRA Report |
| Joshua John Strzelecki | 5177197 | 1 | 07/14/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Norman Kit Chu | 4758752 | 1 | 07/05/2017 | Customer Dispute | Denied | $7,280.34 | $0.00 | See FINRA Report |
| Ronald Wingkai Lam | 3067765 | 5 | 06/29/2017 | Customer Dispute | Settled | $8,008.75 | $0.00 | See FINRA Report |