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 |
|---|---|---|---|---|---|---|---|---|
| Keith Alan Davison | 4474843 | 1 | 08/04/2016 | Customer Dispute | Denied | $12,373.50 | $0.00 | See FINRA Report |
| Michael Scott Niedzwiecki | 2613239 | 2 | 08/03/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Howard Michael Stephenson | 2670281 | 1 | 08/01/2016 | Customer Dispute | Denied | $99,621.00 | $0.00 | See FINRA Report |
| Jonathan Ben Mirer | 336638 | 9 | 07/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vernos Kenneth Williams | 4874225 | 2 | 07/25/2016 | Customer Dispute | Denied | $33,031.20 | $0.00 | See FINRA Report |
| Douglas Karl Everett | 1295057 | 3 | 07/20/2016 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Alan Cormack Holt | 1497129 | 4 | 07/09/2016 | Customer Dispute | Denied | $13,875.70 | $0.00 | See FINRA Report |
| Michael Joseph Perez | 2270237 | 2 | 07/08/2016 | Customer Dispute | Denied | $8,824.43 | $0.00 | See FINRA Report |
| Alauna Diane Boettner | 2753554 | 1 | 07/05/2016 | Customer Dispute | Denied | $30,080.00 | $0.00 | See FINRA Report |
| Richard Scott Ewing | 3189321 | 6 | 06/30/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |