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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Patrick Miller | 2921914 | 4 | 08/22/2000 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Roger Edward Kiefer | 2322638 | 4 | 08/17/2000 | Customer Dispute | Denied | $42,596.40 | $0.00 | See FINRA Report |
| Robert Vaughn Lester | 714813 | 2 | 08/07/2000 | Customer Dispute | Denied | $86,635.00 | $0.00 | See FINRA Report |
| Bassam Edward Fahel | 2897832 | 1 | 07/27/2000 | Customer Dispute | Denied | $14,368.00 | $0.00 | See FINRA Report |
| Michael David Barth | 1687675 | 2 | 07/21/2000 | Customer Dispute | Denied | $11,883.70 | $0.00 | See FINRA Report |
| Mark Victor Sloan | 2113455 | 1 | 07/17/2000 | Customer Dispute | Denied | $7,351.58 | $0.00 | See FINRA Report |
| Mark Wayne Elledge | 1556758 | 1 | 07/12/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Dennis Mosson | 1011524 | 3 | 07/12/2000 | Customer Dispute | Denied | $8,800.00 | $0.00 | See FINRA Report |
| Robert Stephen Hanley | 2289667 | 2 | 06/20/2000 | Customer Dispute | Denied | $15,301.00 | $0.00 | See FINRA Report |
| Michael Anthony Lipscomb | 2286249 | 8 | 05/22/2000 | Customer Dispute | Denied | $35,317.90 | $0.00 | See FINRA Report |