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 |
|---|---|---|---|---|---|---|---|---|
| Kelly Lee Diestler | 2096901 | 12 | 05/25/2001 | Customer Dispute | Denied | $512,077.00 | $0.00 | See FINRA Report |
| Scott Gerard Hemauer | 2153689 | 1 | 05/25/2001 | Customer Dispute | Denied | $512,077.00 | $0.00 | See FINRA Report |
| Michael Lynn Daugherty | 867334 | 2 | 05/22/2001 | Customer Dispute | Denied | $116,000.00 | $0.00 | See FINRA Report |
| Rudolf James Hein | 2459357 | 3 | 05/09/2001 | Customer Dispute | Denied | $54,000.00 | $0.00 | See FINRA Report |
| Brian Michael Megibow | 3083501 | 4 | 05/04/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Huffman | 2158610 | 1 | 04/11/2001 | Customer Dispute | Denied | $46,272.50 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 04/06/2001 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Richard Barry Bernstein | 1782178 | 2 | 03/30/2001 | Customer Dispute | Denied | $9,702.86 | $0.00 | See FINRA Report |
| James Bruce Guthrie | 2562720 | 1 | 03/30/2001 | Customer Dispute | Denied | $675,000.00 | $0.00 | See FINRA Report |
| John Thomas Lentini | 1050628 | 2 | 03/27/2001 | Customer Dispute | Denied | $98,849.00 | $0.00 | See FINRA Report |