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 |
|---|---|---|---|---|---|---|---|---|
| Thomas John Gioia | 2788892 | 1 | 11/19/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mitchell Steven Rock | 1451592 | 9 | 11/14/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| George Howard Williams | 1042810 | 3 | 11/14/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Leon Albert Roat | 2214085 | 3 | 11/13/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Tracy Goughnour Aufleger | 2317989 | 6 | 11/11/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mitchell Steven Rock | 1451592 | 9 | 11/11/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Alan Ward | 4284483 | 1 | 11/10/2008 | Customer Dispute | Denied | $25,370.30 | $0.00 | See FINRA Report |
| Peggy Wickman Lyon | 1663296 | 1 | 11/10/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Nolan | 4670445 | 1 | 11/06/2008 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| Michael James Atherton | 870434 | 2 | 11/04/2008 | Customer Dispute | Denied | $41,000.00 | $0.00 | See FINRA Report |