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 |
|---|---|---|---|---|---|---|---|---|
| Michael Alexander Swinehart | 4865539 | 3 | 10/08/2015 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Riette Elizabeth Lotker | 2651793 | 1 | 10/08/2015 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Jeffrey Todd Hankins | 2459394 | 2 | 10/06/2015 | Customer Dispute | Denied | $7,659.01 | $0.00 | See FINRA Report |
| Travis John Kraker | 4713392 | 1 | 10/02/2015 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Eric William Szczurowski | 4672167 | 3 | 10/02/2015 | Customer Dispute | Denied | $6,290.09 | $0.00 | See FINRA Report |
| Randy Lee Stewart | 2398047 | 5 | 09/30/2015 | Customer Dispute | Denied | $19,853.00 | $0.00 | See FINRA Report |
| Brandon Bay | 2631764 | 4 | 09/25/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter William Foreman | 4640699 | 1 | 09/18/2015 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey Neil Krinsky | 4147792 | 8 | 09/14/2015 | Customer Dispute | Denied | $25,961.00 | $0.00 | See FINRA Report |
| James Allen Morrison | 2485209 | 1 | 09/14/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |