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 |
|---|---|---|---|---|---|---|---|---|
| Allen Andrew Raub | 1387405 | 1 | 03/02/2015 | Customer Dispute | Denied | $193,946.00 | $0.00 | See FINRA Report |
| Michael Dean Sturgis | 4304252 | 2 | 02/09/2015 | Customer Dispute | Denied | $7,645.97 | $0.00 | See FINRA Report |
| Courtney Lloyd Cargill | 2624979 | 2 | 01/28/2015 | Customer Dispute | Denied | $8,549.00 | $0.00 | See FINRA Report |
| James Robert Wright | 4039618 | 2 | 01/28/2015 | Customer Dispute | Denied | $119,768.00 | $0.00 | See FINRA Report |
| Thomas Alfred Palkovich | 4848976 | 1 | 01/15/2015 | Customer Dispute | Denied | $21,413.90 | $0.00 | See FINRA Report |
| Brent Allen Banker | 2551595 | 2 | 01/13/2015 | Customer Dispute | Denied | $29,161.70 | $0.00 | See FINRA Report |
| William Philip Smiley | 2376489 | 1 | 01/09/2015 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| William Haywood Walters | 1219745 | 4 | 01/05/2015 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Christopher John Olsen | 1541716 | 4 | 01/02/2015 | Customer Dispute | Denied | $121,891.00 | $0.00 | See FINRA Report |
| Alan Wayne Schroeder | 1535389 | 1 | 12/29/2014 | Customer Dispute | Denied | $18,066.90 | $0.00 | See FINRA Report |