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 |
|---|---|---|---|---|---|---|---|---|
| John Francis Stella | 4188056 | 1 | 04/06/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew David Spitz | 2926265 | 1 | 04/01/2016 | Customer Dispute | Denied | $8,079.75 | $0.00 | See FINRA Report |
| Krzysztof Piekarski | 4946008 | 1 | 03/31/2016 | Customer Dispute | Denied | $36,613.80 | $0.00 | See FINRA Report |
| William Douglas Wilson | 4256416 | 2 | 03/21/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Francis Corcoran | 4713844 | 1 | 03/15/2016 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Phuong Vien Pham | 5003993 | 1 | 03/11/2016 | Customer Dispute | Denied | $21,299.80 | $0.00 | See FINRA Report |
| Harriet Elizabeth Heyda | 2112191 | 1 | 03/04/2016 | Customer Dispute | Denied | $7,200.01 | $0.00 | See FINRA Report |
| Mark David McGrath | 2257992 | 1 | 03/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Keith Seago | 2744455 | 2 | 03/01/2016 | Customer Dispute | Denied | $39,188.00 | $0.00 | See FINRA Report |
| Ronald Collins Katigbak | 2560937 | 1 | 02/26/2016 | Customer Dispute | Denied | $79,245.80 | $0.00 | See FINRA Report |