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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Frances Hemann | 1623885 | 4 | 06/25/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ronald Alston Rienas | 2367794 | 2 | 06/24/2004 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| James Thomas Lee IV | 2580125 | 2 | 06/24/2004 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| James Matthew Richardson | 2032665 | 1 | 06/24/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Richard N Dallen | 1507980 | 1 | 06/23/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Bret Douglas Salomon | 2004831 | 1 | 06/16/2004 | Customer Dispute | Denied | $5,689.55 | $0.00 | See FINRA Report |
| Steven Foster Powell | 3111112 | 2 | 06/15/2004 | Customer Dispute | Denied | $11,700.00 | $0.00 | See FINRA Report |
| Steven Edward Du Charme | 2226563 | 1 | 06/15/2004 | Customer Dispute | Denied | $8,956.00 | $0.00 | See FINRA Report |
| Donald Paul Johannes | 2010074 | 2 | 06/15/2004 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Krugel | 2052389 | 7 | 06/07/2004 | Customer Dispute | Denied | $87,350.00 | $0.00 | See FINRA Report |