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 |
|---|---|---|---|---|---|---|---|---|
| David Frank Brazen | 1415374 | 2 | 03/31/2020 | Customer Dispute | Denied | $5,305.61 | $0.00 | See FINRA Report |
| Ted J Norman | 1923468 | 1 | 03/30/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shannon Lyrek Johnson | 4594912 | 1 | 03/27/2020 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Luis Gerardo Landin | 3091788 | 3 | 03/25/2020 | Customer Dispute | Denied | $7,744.29 | $0.00 | See FINRA Report |
| Aaron Lee Turner | 2252485 | 4 | 03/21/2020 | Customer Dispute | Denied | $13,986.30 | $0.00 | See FINRA Report |
| Nannette Pisig Nocon | 1304953 | 3 | 03/17/2020 | Customer Dispute | Denied | $6,716.00 | $0.00 | See FINRA Report |
| Michael George Matus | 2984231 | 2 | 03/17/2020 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| John August van Wambeke | 729864 | 2 | 03/16/2020 | Customer Dispute | Denied | $39,583.10 | $0.00 | See FINRA Report |
| Jeffrey Scott Miller | 2112508 | 2 | 03/13/2020 | Customer Dispute | Denied | $38,721.40 | $0.00 | See FINRA Report |
| Sandy Jukel | 1193099 | 6 | 03/11/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |