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 |
|---|---|---|---|---|---|---|---|---|
| Gordon Scott Shalek | 1557601 | 3 | 03/26/2001 | Customer Dispute | Denied | $14,700.00 | $0.00 | See FINRA Report |
| Lawrence Robert Boxer | 1957443 | 1 | 03/26/2001 | Customer Dispute | Denied | $14,700.00 | $0.00 | See FINRA Report |
| Daniel Paul Morrissey | 1268427 | 2 | 02/02/2001 | Customer Dispute | Denied | $9,987.00 | $0.00 | See FINRA Report |
| James Patrick Robertson | 1082420 | 3 | 01/30/2001 | Customer Dispute | Denied | $16,258.80 | $0.00 | See FINRA Report |
| Jeffrey Lawrence Sarkin | 1470746 | 1 | 01/29/2001 | Customer Dispute | Denied | $149,520.00 | $0.00 | See FINRA Report |
| Roger Edwin Sulhoff | 1057321 | 4 | 01/19/2001 | Customer Dispute | Denied | $8,382.06 | $0.00 | See FINRA Report |
| Eric Futoshi Fujimoto | 2482672 | 1 | 01/19/2001 | Customer Dispute | Denied | $20,458.40 | $0.00 | See FINRA Report |
| Larry Joseph Criss | 1904225 | 4 | 01/11/2001 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Anthony James Tsakakis | 2201434 | 1 | 01/10/2001 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Drew Peter Granauro | 2342905 | 2 | 01/05/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |