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 |
|---|---|---|---|---|---|---|---|---|
| C Dino Lembesis | 2722933 | 2 | 04/03/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Carmen Smith Lance | 4980630 | 3 | 04/01/2019 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Amanda Ashley Hale | 4072033 | 4 | 03/19/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kurt Douglas Sharp | 4611426 | 1 | 03/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kwan-Rok Kong | 5288982 | 4 | 03/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Seth Ian Bassoff | 2948086 | 2 | 02/25/2019 | Customer Dispute | Denied | $38,859.10 | $0.00 | See FINRA Report |
| Melford George Brown | 2501003 | 3 | 02/21/2019 | Customer Dispute | Denied | $8,900.00 | $0.00 | See FINRA Report |
| Richard Layne Clark | 2817018 | 4 | 02/15/2019 | Customer Dispute | Denied | $89,200.00 | $0.00 | See FINRA Report |
| Alfred R Saracene | 5637930 | 1 | 01/24/2019 | Customer Dispute | Denied | $13,343.00 | $0.00 | See FINRA Report |
| Jonathon Lester Myers | 2271071 | 1 | 01/24/2019 | Customer Dispute | Denied | $13,343.00 | $0.00 | See FINRA Report |