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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Ronald Lesner | 2896221 | 1 | 03/20/2017 | Customer Dispute | Denied | $30,649.10 | $0.00 | See FINRA Report |
| Scott Richard Solomon | 4665980 | 1 | 03/20/2017 | Customer Dispute | Denied | $10,800.00 | $0.00 | See FINRA Report |
| Michael Fisher | 4056114 | 6 | 03/13/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Karolin Ruth Lex | 2552783 | 1 | 03/13/2017 | Customer Dispute | Settled | $5,237.00 | $0.00 | See FINRA Report |
| Summer Melissa Diaz | 4335467 | 3 | 03/03/2017 | Customer Dispute | Denied | $7,900.00 | $0.00 | See FINRA Report |
| Hema Joshi | 2572620 | 5 | 03/03/2017 | Customer Dispute | Denied | $186,000.00 | $0.00 | See FINRA Report |
| David Hatsuichi Aramaki | 2745343 | 1 | 02/27/2017 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Eladio Correa | 1131912 | 3 | 02/24/2017 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Mark Crosby Ward | 4307488 | 1 | 02/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Valentino Anthony Scaramuzzo | 1394413 | 1 | 02/23/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |