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 |
|---|---|---|---|---|---|---|---|---|
| Armand Dave Prestidge | 4197805 | 1 | 11/03/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Louie Eugene Burrus | 1673646 | 2 | 11/02/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Douglas Kalish | 1175525 | 1 | 10/27/2006 | Customer Dispute | Denied | $5,793.10 | $0.00 | See FINRA Report |
| Steven Thomas Faticone | 1233584 | 2 | 10/26/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Cheryl Marie Burbano | 2754933 | 1 | 10/26/2006 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Alexander Umansky | 3005872 | 3 | 10/25/2006 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Alberto Jose Herran | 2708119 | 2 | 10/23/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| John Thomas Keown | 1555738 | 2 | 10/19/2006 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Douglas William Bell | 1975328 | 1 | 10/17/2006 | Customer Dispute | Denied | $19,600.00 | $0.00 | See FINRA Report |
| Wan Ping Wendy Yu | 2271407 | 1 | 10/11/2006 | Customer Dispute | Denied | $10,280.30 | $0.00 | See FINRA Report |