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 |
|---|---|---|---|---|---|---|---|---|
| Geraldine Gordon | 2499098 | 9 | 06/26/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| John Craig Willson | 1045233 | 2 | 06/25/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Bradly Conti | 2105909 | 5 | 06/24/2002 | Customer Dispute | Denied | $280,000.00 | $0.00 | See FINRA Report |
| Mark Eugene Gray | 1316211 | 2 | 06/24/2002 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Stephen John Stalcup | 2404552 | 1 | 06/24/2002 | Customer Dispute | Denied | $120,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph McGrath | 3071823 | 2 | 06/24/2002 | Customer Dispute | Denied | $62,000.00 | $0.00 | See FINRA Report |
| Paul David Carlson | 1021718 | 4 | 06/21/2002 | Customer Dispute | Denied | $33,598.30 | $0.00 | See FINRA Report |
| Archie Reid Tanaka | 2018396 | 1 | 06/17/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Steven E Carpmail | 2941792 | 7 | 06/14/2002 | Customer Dispute | Denied | $7,231.00 | $0.00 | See FINRA Report |
| Wayne Mitchell Cohen | 1142967 | 3 | 06/12/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |