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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Riley | 5347875 | 1 | 02/22/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Aftab Ahmad | 3148243 | 1 | 02/21/2017 | Customer Dispute | Settled | $76,000.00 | $0.00 | See FINRA Report |
| William Walter Gammon | 1811853 | 27 | 02/21/2017 | Customer Dispute | Denied | $17,795.00 | $0.00 | See FINRA Report |
| Ivette Priscilla Taylor | 4840849 | 1 | 02/16/2017 | Customer Dispute | Denied | $68,000.00 | $0.00 | See FINRA Report |
| James Walter Keim | 4415318 | 1 | 02/15/2017 | Customer Dispute | Denied | $136,263.00 | $0.00 | See FINRA Report |
| Marcus Wayne Welborn | 2889680 | 1 | 02/14/2017 | Customer Dispute | Settled | $118,404.00 | $0.00 | See FINRA Report |
| Jay Liban | 5795167 | 1 | 02/06/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Arthur Bouchard | 1444155 | 1 | 02/03/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Randall Scott Behnke | 4417290 | 3 | 02/03/2017 | Customer Dispute | Settled | $810,000.00 | $0.00 | See FINRA Report |
| Carroll Thomas Clark | 734524 | 2 | 02/02/2017 | Customer Dispute | Award / Judgment | $75,000.00 | $24,158.70 | See FINRA Report |