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 |
|---|---|---|---|---|---|---|---|---|
| Kimberlee Anne Barrett-Johnson | 2261781 | 1 | 03/29/2023 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Matthew W Wayne Shaughnessy | 2457058 | 2 | 03/23/2023 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Guy Anthony Colella | 1646164 | 3 | 03/09/2023 | Customer Dispute | Denied | $420,000.00 | $0.00 | See FINRA Report |
| James Harley Hartung | 1602173 | 1 | 03/08/2023 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Donovan Howard Leighton | 6025118 | 2 | 03/07/2023 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Jennifer Nicole Moenter | 6222756 | 1 | 02/15/2023 | Customer Dispute | Denied | $74,875.00 | $0.00 | See FINRA Report |
| Dinesh Kumar Sawal | 4843258 | 1 | 01/15/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Neil Soiferman | 1990243 | 6 | 01/09/2023 | Customer Dispute | Denied | $33,449.40 | $0.00 | See FINRA Report |
| Randall Dean Helt | 3013272 | 1 | 12/16/2022 | Customer Dispute | Denied | $14,015.60 | $0.00 | See FINRA Report |
| Wayne Robert Verity | 4485611 | 1 | 12/12/2022 | Customer Dispute | Denied | $10,798.00 | $0.00 | See FINRA Report |