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 |
|---|---|---|---|---|---|---|---|---|
| George Geoffrey Galster | 4658114 | 1 | 05/15/2017 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Carey Joel Rosen | 1349983 | 4 | 05/04/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Theodore Ade | 2854800 | 1 | 05/04/2017 | Customer Dispute | Settled | $23,966.00 | $0.00 | See FINRA Report |
| William Lynn Bynum | 2011143 | 2 | 04/28/2017 | Customer Dispute | Denied | $66,960.70 | $0.00 | See FINRA Report |
| Gabriel Yanez | 2116095 | 2 | 04/18/2017 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Douglas D Dinzik | 2262066 | 1 | 04/04/2017 | Customer Dispute | Award / Judgment | $20,000.00 | $0.00 | See FINRA Report |
| Russell John Fish | 4452777 | 1 | 04/03/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Hema Joshi | 2572620 | 5 | 04/03/2017 | Customer Dispute | Denied | $24,339.80 | $0.00 | See FINRA Report |
| Robyn Zitzewitz Rose | 2548769 | 2 | 03/27/2017 | Customer Dispute | Settled | $125,993.00 | $0.00 | See FINRA Report |
| Todd Karl Osgood | 2613414 | 2 | 03/22/2017 | Customer Dispute | Settled | $11,488.00 | $0.00 | See FINRA Report |