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 |
|---|---|---|---|---|---|---|---|---|
| James Carl Lebahn | 2114700 | 1 | 02/17/2011 | Customer Dispute | Denied | $14,424.60 | $0.00 | See FINRA Report |
| John Byron Bailey | 1279694 | 2 | 02/15/2011 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Krugel | 2052389 | 7 | 02/11/2011 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Steven Michael Flynn | 1403226 | 1 | 02/07/2011 | Customer Dispute | Denied | $34,199.10 | $0.00 | See FINRA Report |
| Mark Alexis Ohler | 4250864 | 3 | 02/03/2011 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Troy Martin Evans | 3069014 | 1 | 02/01/2011 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Thomas David Kypke | 2759758 | 1 | 01/31/2011 | Customer Dispute | Denied | $5,301.60 | $0.00 | See FINRA Report |
| Michael Wai Kong Yee | 1242719 | 1 | 01/26/2011 | Customer Dispute | Denied | $28,892.60 | $0.00 | See FINRA Report |
| Mark Kuznitz | 2228196 | 3 | 01/20/2011 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Anthony Lee de Stefani | 4559711 | 1 | 01/20/2011 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |