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 |
|---|---|---|---|---|---|---|---|---|
| Steven Laurent Lavergne | 5058612 | 1 | 06/14/2021 | Customer Dispute | Denied | $16,785.00 | $0.00 | See FINRA Report |
| Tracy Goughnour Aufleger | 2317989 | 6 | 04/28/2021 | Customer Dispute | Denied | $15,511.30 | $0.00 | See FINRA Report |
| Angela Ai Liu | 6769962 | 1 | 04/28/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Aufleger | 2918240 | 1 | 04/28/2021 | Customer Dispute | Denied | $15,511.50 | $0.00 | See FINRA Report |
| David Cameron Monckton | 2252224 | 5 | 01/05/2021 | Customer Dispute | Denied | $85,000.00 | $0.00 | See FINRA Report |
| Bert Lee Hor | 2809371 | 2 | 11/19/2020 | Customer Dispute | Denied | $10,563.90 | $0.00 | See FINRA Report |
| Karl Christopher von Brockdorff | 4855471 | 1 | 10/31/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Eric Scott Felsenfeld | 4496689 | 4 | 10/01/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Vikram Kohli | 4620124 | 1 | 09/29/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Scott | 2677403 | 4 | 09/04/2020 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |