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 |
|---|---|---|---|---|---|---|---|---|
| Leo Esses | 4711222 | 1 | 10/23/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Thomas Higgins | 2283649 | 5 | 10/23/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christine Mary Korte | 2951523 | 1 | 10/22/2008 | Customer Dispute | Denied | $15,169.90 | $0.00 | See FINRA Report |
| Martin Dwayne Mc Farling | 4271041 | 4 | 10/20/2008 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Jonathan Scott Kuttin | 2519437 | 3 | 10/20/2008 | Customer Dispute | Denied | $55,499.30 | $0.00 | See FINRA Report |
| Michael Scott Niedzwiecki | 2613239 | 2 | 10/19/2008 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Pisko | 4561213 | 1 | 10/16/2008 | Customer Dispute | Denied | $11,100.00 | $0.00 | See FINRA Report |
| Michael Gerard Prendergast | 1327563 | 2 | 10/16/2008 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Brent William Makarczyk | 4278893 | 3 | 10/16/2008 | Customer Dispute | Denied | $10,478.80 | $0.00 | See FINRA Report |
| Christopher Joseph Mallory | 2907143 | 5 | 10/15/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |