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 |
|---|---|---|---|---|---|---|---|---|
| Jesse M Miles | 1543536 | 1 | 12/13/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Eugene Boaz | 5639563 | 1 | 12/13/2016 | Customer Dispute | Denied | $5,200.28 | $0.00 | See FINRA Report |
| Lee Michael Turmail | 2890637 | 1 | 12/13/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Francis Prioletti | 2099045 | 1 | 12/12/2016 | Customer Dispute | Denied | $5,835.62 | $0.00 | See FINRA Report |
| Charles Allen Evans | 733216 | 5 | 12/10/2016 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Robert Allan Caldwell | 1995182 | 2 | 12/05/2016 | Customer Dispute | Settled | $59,726.00 | $0.00 | See FINRA Report |
| Mark Patrick Tolan | 836289 | 3 | 11/28/2016 | Customer Dispute | Settled | $331,000.00 | $0.00 | See FINRA Report |
| Gautam B Bose | 2426395 | 3 | 11/28/2016 | Customer Dispute | Settled | $356,000.00 | $0.00 | See FINRA Report |
| Todd William Darling | 2017625 | 1 | 11/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chad Edward Gerst | 4091252 | 1 | 11/21/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |