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 |
|---|---|---|---|---|---|---|---|---|
| Steven Thomas Marshall | 1254401 | 2 | 08/28/2002 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Thomas Jeremiah Moher | 2422778 | 3 | 08/27/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Godinez | 2311914 | 1 | 08/21/2002 | Customer Dispute | Denied | $10,330.00 | $0.00 | See FINRA Report |
| Randall Thomas White | 1526097 | 2 | 08/20/2002 | Customer Dispute | Denied | $167,536.00 | $0.00 | See FINRA Report |
| Leonard Alan Krenek | 2405904 | 10 | 08/15/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Earl Wilson | 1904806 | 3 | 08/15/2002 | Customer Dispute | Denied | $250,088.00 | $0.00 | See FINRA Report |
| Joseph Michael La Bree | 2398577 | 2 | 08/12/2002 | Customer Dispute | Denied | $82,779.60 | $0.00 | See FINRA Report |
| Patrick Theodore Wayman | 2983371 | 5 | 08/09/2002 | Customer Dispute | Denied | $10,394.00 | $0.00 | See FINRA Report |
| Gary Alan Richman | 726786 | 5 | 08/07/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Richard Anthony Mazo | 2420230 | 2 | 08/05/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |