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 |
|---|---|---|---|---|---|---|---|---|
| Mary Ann Davenport-Yant | 3109818 | 1 | 02/06/2012 | Customer Dispute | Denied | $11,347.50 | $0.00 | See FINRA Report |
| Richard Earl Lewis | 4288578 | 1 | 01/10/2012 | Customer Dispute | Denied | $11,044.50 | $0.00 | See FINRA Report |
| Nicholas Blair Vizzi | 3144565 | 2 | 01/03/2012 | Customer Dispute | Denied | $448,139.00 | $0.00 | See FINRA Report |
| Stephen John Croghan | 1190480 | 1 | 01/03/2012 | Customer Dispute | Denied | $49,537.30 | $0.00 | See FINRA Report |
| Joseph Robert Rettig | 1090721 | 7 | 01/03/2012 | Customer Dispute | Denied | $448,139.00 | $0.00 | See FINRA Report |
| Maximilian Guido Roth | 842683 | 2 | 12/27/2011 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Daniel Komson Jiyamapa | 4460219 | 1 | 12/24/2011 | Customer Dispute | Denied | $53,000.00 | $0.00 | See FINRA Report |
| Michael Lewis Abrams | 1997502 | 1 | 12/16/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John George Fidder | 2691218 | 1 | 12/05/2011 | Customer Dispute | Denied | $10,420.00 | $0.00 | See FINRA Report |
| William Thomas Higgins | 2283649 | 5 | 11/17/2011 | Customer Dispute | Denied | $8,459.92 | $0.00 | See FINRA Report |