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 |
|---|---|---|---|---|---|---|---|---|
| Adam Mitchell Klein | 5238386 | 1 | 07/06/2018 | Customer Dispute | Denied | $9,048.01 | $0.00 | See FINRA Report |
| Robert L Book | 4287199 | 1 | 07/03/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mitchell Steven Rock | 1451592 | 9 | 07/03/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Daniel A Gamm | 4110333 | 1 | 06/26/2018 | Customer Dispute | Denied | $5,816.10 | $0.00 | See FINRA Report |
| Thomas John Eisenhuth | 4364320 | 1 | 06/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Patrick Barbaro | 3131785 | 3 | 06/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Sanders | 3063288 | 3 | 05/25/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Corbin Munn | 2250062 | 2 | 05/09/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Edward Baringer | 1363730 | 1 | 04/23/2018 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Richard Allen Kappel | 4144458 | 1 | 04/20/2018 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |