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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Wingkai Lam | 3067765 | 5 | 04/26/2005 | Customer Dispute | Denied | $83,124.50 | $0.00 | See FINRA Report |
| Matthew James Burke | 1961111 | 1 | 04/26/2005 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Christian Taylor Hammer-Huber | 2292633 | 1 | 04/22/2005 | Customer Dispute | Denied | $16,107.30 | $0.00 | See FINRA Report |
| Ralph Thomas Truman | 2842848 | 5 | 04/19/2005 | Customer Dispute | Denied | $18,600.00 | $0.00 | See FINRA Report |
| Alfred Zarroli | 2815383 | 1 | 04/19/2005 | Customer Dispute | Denied | $6,912.25 | $0.00 | See FINRA Report |
| Scott Steven Sosna | 2276301 | 2 | 04/19/2005 | Customer Dispute | Denied | $11,087.10 | $0.00 | See FINRA Report |
| Carlton Matthias Francis | 4481558 | 1 | 04/06/2005 | Customer Dispute | Denied | $28,100.00 | $0.00 | See FINRA Report |
| Troy Edward Caffey | 2103743 | 5 | 04/06/2005 | Customer Dispute | Denied | $18,371.30 | $0.00 | See FINRA Report |
| Spiro Garbis | 2191342 | 1 | 04/01/2005 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| John Henry Stearns | 2983334 | 4 | 03/30/2005 | Customer Dispute | Denied | $102,457.00 | $0.00 | See FINRA Report |