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 |
|---|---|---|---|---|---|---|---|---|
| Gary James Buczkowski | 2947945 | 1 | 11/03/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William John Tassey | 2176336 | 2 | 11/03/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Geoffrey Bennett Lee | 4698863 | 3 | 10/31/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Martin Lefty | 1034936 | 2 | 10/30/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Kuznitz | 2228196 | 3 | 10/29/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Robert Kelly Shanks | 2201495 | 2 | 10/29/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Randall Clark Perkins | 1488302 | 1 | 10/27/2008 | Customer Dispute | Denied | $24,970.00 | $0.00 | See FINRA Report |
| Daniel Joseph McGrath | 3071823 | 2 | 10/27/2008 | Customer Dispute | Denied | $12,075.40 | $0.00 | See FINRA Report |
| William Edward Bredthauer | 2266233 | 4 | 10/24/2008 | Customer Dispute | Denied | $45,446.80 | $0.00 | See FINRA Report |
| Steven Ralph Merenda | 2102127 | 2 | 10/24/2008 | Customer Dispute | Denied | $56,152.70 | $0.00 | See FINRA Report |