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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Edward Muir | 1199188 | 2 | 06/29/2015 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Martin Matthew Sohovich | 5100367 | 1 | 06/18/2015 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kristopher Alberto de La Pena | 4973630 | 1 | 06/17/2015 | Customer Dispute | Denied | $5,900.00 | $0.00 | See FINRA Report |
| Jeremiah Connor Fitzpatrick | 4473370 | 4 | 05/11/2015 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Alan Cormack Holt | 1497129 | 4 | 05/05/2015 | Customer Dispute | Denied | $24,800.60 | $0.00 | See FINRA Report |
| Douglas Earl Milbrath | 2155505 | 4 | 04/27/2015 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| James Brent Powers | 2924920 | 1 | 04/13/2015 | Customer Dispute | Denied | $8,247.00 | $0.00 | See FINRA Report |
| Justin York Bailey | 3251157 | 4 | 04/06/2015 | Customer Dispute | Denied | $40,826.00 | $0.00 | See FINRA Report |
| Christopher John Laubach | 1013280 | 1 | 03/31/2015 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Betsy Lynn Billard | 2694374 | 2 | 03/03/2015 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |