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 |
|---|---|---|---|---|---|---|---|---|
| Sean Stuart Sharp | 4190426 | 1 | 02/21/2003 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Gregory Merlin Thoen | 2237713 | 5 | 02/19/2003 | Customer Dispute | Denied | $29,645.80 | $0.00 | See FINRA Report |
| William John Tassey | 2176336 | 2 | 02/19/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Frank Joseph Ziegler | 2179643 | 2 | 02/18/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Lipscomb | 2286249 | 8 | 02/14/2003 | Customer Dispute | Denied | $79,400.00 | $0.00 | See FINRA Report |
| Naimuddin Syed | 2774953 | 4 | 02/13/2003 | Customer Dispute | Denied | $111,705.00 | $0.00 | See FINRA Report |
| Roland K Cook | 2215333 | 2 | 02/13/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Daniel Young | 2837055 | 1 | 02/13/2003 | Customer Dispute | Denied | $9,261.00 | $0.00 | See FINRA Report |
| Clinton Jerome Faust | 2202435 | 1 | 02/12/2003 | Customer Dispute | Denied | $40,901.30 | $0.00 | See FINRA Report |
| Thomas Henry Harbour | 2171575 | 3 | 02/12/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |