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 |
|---|---|---|---|---|---|---|---|---|
| M C Tyer | 861466 | 2 | 09/26/2014 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 09/12/2014 | Customer Dispute | Denied | $107,000.00 | $0.00 | See FINRA Report |
| Sherrill Marie de Cleene | 3063503 | 3 | 09/04/2014 | Customer Dispute | Denied | $18,360.00 | $0.00 | See FINRA Report |
| Robert Edward Bortz | 1018691 | 4 | 07/25/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian David Emery | 4371229 | 3 | 07/03/2014 | Customer Dispute | Denied | $9,321.20 | $0.00 | See FINRA Report |
| Steven E Carpmail | 2941792 | 7 | 07/02/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Derick Evan Oakley | 4931150 | 1 | 07/01/2014 | Customer Dispute | Denied | $7,494.01 | $0.00 | See FINRA Report |
| Michael Joseph Paolucci | 2038541 | 1 | 06/30/2014 | Customer Dispute | Denied | $37,015.60 | $0.00 | See FINRA Report |
| Matthew Richard Zukergood | 1438202 | 2 | 05/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Normand Richard Fluet | 3189827 | 2 | 05/14/2014 | Customer Dispute | Denied | $60,623.00 | $0.00 | See FINRA Report |