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 |
|---|---|---|---|---|---|---|---|---|
| Kathy Jeanne Bauers | 2924245 | 3 | 12/23/2002 | Customer Dispute | Denied | $185,410.00 | $0.00 | See FINRA Report |
| James Gerard Shamoun | 1826823 | 2 | 12/18/2002 | Customer Dispute | Denied | $17,037.60 | $0.00 | See FINRA Report |
| Donald Stephen Alderman | 2289153 | 2 | 12/17/2002 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| Todd Russell Holubec | 4275542 | 1 | 12/11/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Ray Miller | 2529324 | 3 | 12/05/2002 | Customer Dispute | Denied | $12,554.50 | $0.00 | See FINRA Report |
| Edward Gaskey | 2901942 | 1 | 12/03/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Neven Zelich | 1848738 | 1 | 12/02/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| William Thomas Higgins | 2283649 | 5 | 12/02/2002 | Customer Dispute | Denied | $60,092.00 | $0.00 | See FINRA Report |
| Joseph Salvatore de Sena | 2477861 | 4 | 11/26/2002 | Customer Dispute | Denied | $13,685.50 | $0.00 | See FINRA Report |
| John Thomas Keown | 1555738 | 2 | 11/26/2002 | Customer Dispute | Denied | $10,020.80 | $0.00 | See FINRA Report |