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 |
|---|---|---|---|---|---|---|---|---|
| Jean-Pierre Fernandez | 5446400 | 1 | 02/28/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Joseph Coussens | 730556 | 3 | 02/27/2020 | Customer Dispute | Denied | $29,918.60 | $0.00 | See FINRA Report |
| Charles Chae Lee | 3245991 | 1 | 02/18/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Manish Mukhi | 2759787 | 2 | 02/10/2020 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Brett Eugene Dalton | 4410671 | 1 | 01/28/2020 | Customer Dispute | Denied | $31,210.10 | $0.00 | See FINRA Report |
| Cedric Percell Powell | 3249130 | 4 | 01/17/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Joseph Martin Liana | 4049875 | 3 | 01/15/2020 | Customer Dispute | Denied | $5,339.32 | $0.00 | See FINRA Report |
| Joseph Scott Taylor | 2624919 | 1 | 12/17/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Michael Elliot Taylor | 4900554 | 1 | 12/03/2019 | Customer Dispute | Denied | $23,134.30 | $0.00 | See FINRA Report |
| Christopher Edward Adkins | 5648541 | 1 | 11/27/2019 | Customer Dispute | Denied | $15,975.40 | $0.00 | See FINRA Report |