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 |
|---|---|---|---|---|---|---|---|---|
| William Clair Houston | 724798 | 1 | 06/08/2012 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Mark Andrew Engles | 2501486 | 1 | 06/07/2012 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Michael G McIntyre | 2054196 | 1 | 06/05/2012 | Customer Dispute | Denied | $29,598.30 | $0.00 | See FINRA Report |
| Joseph James Mandile | 1796655 | 1 | 06/05/2012 | Customer Dispute | Denied | $46,254.00 | $0.00 | See FINRA Report |
| Jerry Mitchell Positeri | 1425641 | 1 | 05/25/2012 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Jeffrey Edward Wenzel | 2356340 | 2 | 05/23/2012 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Liet C Han | 2691353 | 1 | 05/21/2012 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Duane Paul Heiling | 2344152 | 5 | 05/14/2012 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Aaron Keith Drone | 4497976 | 1 | 04/30/2012 | Customer Dispute | Denied | $13,565.80 | $0.00 | See FINRA Report |
| Joseph Michael Trainor | 4228798 | 1 | 04/20/2012 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |