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 |
|---|---|---|---|---|---|---|---|---|
| Harry Pappas | 1370754 | 4 | 01/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 01/03/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Gordon Adam Rennard | 2569787 | 2 | 12/24/2001 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| John David Link | 2647984 | 2 | 12/24/2001 | Customer Dispute | Denied | $20,500.00 | $0.00 | See FINRA Report |
| Hung The Vu | 2057298 | 3 | 12/21/2001 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 12/19/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Luis Gerardo Landin | 3091788 | 3 | 12/13/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Michael James Cook | 2170952 | 1 | 12/10/2001 | Customer Dispute | Denied | $13,805.00 | $0.00 | See FINRA Report |
| Dean Philip Velzke | 2442656 | 2 | 12/04/2001 | Customer Dispute | Denied | $38,308.80 | $0.00 | See FINRA Report |
| Jeff Richard Bank | 1577796 | 9 | 11/14/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |