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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Theis | 2087856 | 2 | 10/09/2009 | Customer Dispute | Denied | $11,590.30 | $0.00 | See FINRA Report |
| Robert Scott Mac Donald | 1918146 | 2 | 10/01/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Benjamin Ira Bernstein | 4465963 | 5 | 09/30/2009 | Customer Dispute | Denied | $66,136.80 | $0.00 | See FINRA Report |
| Alexander Umansky | 3005872 | 3 | 09/29/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Kenneth Edward Schimpf | 2707490 | 5 | 09/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Anthony Lammers | 1398053 | 2 | 09/21/2009 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Rudolf James Hein | 2459357 | 3 | 09/21/2009 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Carol Lynn Busche | 1509363 | 1 | 09/18/2009 | Customer Dispute | Denied | $19,508.20 | $0.00 | See FINRA Report |
| Paul Regis Lang | 1111162 | 2 | 09/17/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Debra Rose Del Nero | 2042096 | 1 | 09/14/2009 | Customer Dispute | Denied | $52,792.50 | $0.00 | See FINRA Report |