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 |
|---|---|---|---|---|---|---|---|---|
| Pandelis Philip Chryssostomides | 1393540 | 4 | 01/09/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Stephen Monks | 4465898 | 1 | 01/08/2008 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Lee Arthur Petersen | 4353822 | 1 | 01/07/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alberto Jose Herran | 2708119 | 2 | 01/04/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Matthew John Fallon | 4744737 | 1 | 12/28/2007 | Customer Dispute | Denied | $300.00 | $0.00 | See FINRA Report |
| Keith Anthony Yates | 1564110 | 4 | 12/27/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Edward Stefanoff | 4156586 | 4 | 12/21/2007 | Customer Dispute | Denied | $15,366.30 | $0.00 | See FINRA Report |
| G Roger Daniel | 840618 | 3 | 12/19/2007 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Paul Daniel Zirakian | 2311324 | 5 | 12/13/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Vincent Gonnella | 4757303 | 1 | 12/11/2007 | Customer Dispute | Denied | $7,458.07 | $0.00 | See FINRA Report |