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 |
|---|---|---|---|---|---|---|---|---|
| Tracy Goughnour Aufleger | 2317989 | 6 | 11/15/2011 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| Paul Anthony Mysliwiec | 719662 | 4 | 11/15/2011 | Customer Dispute | Denied | $28,378.30 | $0.00 | See FINRA Report |
| Bronwyn Lee-Ann Martin | 4270556 | 2 | 11/08/2011 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Rettig | 1090721 | 7 | 11/08/2011 | Customer Dispute | Denied | $178,249.00 | $0.00 | See FINRA Report |
| Andrew Ryan Petty | 4462357 | 1 | 11/07/2011 | Customer Dispute | Denied | $14,702.00 | $0.00 | See FINRA Report |
| Mark David Lawyer | 3080962 | 1 | 11/07/2011 | Customer Dispute | Denied | $20,700.00 | $0.00 | See FINRA Report |
| Joan Ella Titus | 2340490 | 2 | 10/31/2011 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Tolan | 2391954 | 2 | 10/31/2011 | Customer Dispute | Denied | $160,308.00 | $0.00 | See FINRA Report |
| Stephen Ray Bucknam | 2024555 | 2 | 10/29/2011 | Customer Dispute | Denied | $28,085.10 | $0.00 | See FINRA Report |
| Eric David Schneider | 4723214 | 1 | 10/24/2011 | Customer Dispute | Denied | $66,404.70 | $0.00 | See FINRA Report |