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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Chi Lang | 2738151 | 3 | 02/06/2014 | Customer Dispute | Denied | $432,000.00 | $0.00 | See FINRA Report |
| Ronald Louis Amentler | 2215408 | 1 | 01/23/2014 | Customer Dispute | Denied | $82,762.20 | $0.00 | See FINRA Report |
| Larry William Chambers | 1650182 | 1 | 01/17/2014 | Customer Dispute | Denied | $11,029.70 | $0.00 | See FINRA Report |
| Thomas G Fread | 2386844 | 1 | 01/09/2014 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Michael John Parenti | 1611264 | 3 | 01/06/2014 | Customer Dispute | Denied | $18,726.00 | $0.00 | See FINRA Report |
| James Robert Frash | 4170924 | 1 | 01/03/2014 | Customer Dispute | Denied | $57,980.00 | $0.00 | See FINRA Report |
| Nancy Sherif Daoud | 1073514 | 8 | 12/23/2013 | Customer Dispute | Denied | $241,035.00 | $0.00 | See FINRA Report |
| Frances Antoinette Milano | 2359237 | 2 | 12/19/2013 | Customer Dispute | Denied | $8,208.42 | $0.00 | See FINRA Report |
| Daniel Thomas Austria | 1721928 | 1 | 12/19/2013 | Customer Dispute | Denied | $8,208.42 | $0.00 | See FINRA Report |
| Michael Vincent Fitzsimmons | 1675726 | 1 | 11/29/2013 | Customer Dispute | Denied | $76,707.40 | $0.00 | See FINRA Report |