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 Robert Shankwitz | 5215795 | 1 | 06/07/2017 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Scott Allen Edwards | 2803671 | 2 | 05/31/2017 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Dora Tina Steeley | 2211451 | 1 | 05/25/2017 | Customer Dispute | Denied | $6,276.68 | $0.00 | See FINRA Report |
| Richard Brent Dvorak | 4176899 | 1 | 05/16/2017 | Customer Dispute | Denied | $77,676.10 | $0.00 | See FINRA Report |
| George Geoffrey Galster | 4658114 | 1 | 05/15/2017 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| William Lynn Bynum | 2011143 | 2 | 04/28/2017 | Customer Dispute | Denied | $66,960.70 | $0.00 | See FINRA Report |
| Hema Joshi | 2572620 | 5 | 04/03/2017 | Customer Dispute | Denied | $24,339.80 | $0.00 | See FINRA Report |
| Joseph Ronald Lesner | 2896221 | 1 | 03/20/2017 | Customer Dispute | Denied | $30,649.10 | $0.00 | See FINRA Report |
| Scott Richard Solomon | 4665980 | 1 | 03/20/2017 | Customer Dispute | Denied | $10,800.00 | $0.00 | See FINRA Report |
| Summer Melissa Diaz | 4335467 | 3 | 03/03/2017 | Customer Dispute | Denied | $7,900.00 | $0.00 | See FINRA Report |