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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Adam Schmitz | 1916804 | 2 | 09/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ira Scott Kallish | 5046194 | 2 | 09/10/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Brandon Travis Harris | 2562934 | 1 | 09/01/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul David Marasciullo | 1477332 | 2 | 08/31/2009 | Customer Dispute | Denied | $19,746.00 | $0.00 | See FINRA Report |
| Thomas Michael Moccia | 2427089 | 1 | 08/24/2009 | Customer Dispute | Denied | $600,000.00 | $0.00 | See FINRA Report |
| Frank Norbert Szafranski | 1594752 | 4 | 08/24/2009 | Customer Dispute | Denied | $122,000.00 | $0.00 | See FINRA Report |
| Robert Edward Armstrong | 4732005 | 4 | 08/24/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lars Hegelund Jorgensen | 4559688 | 1 | 08/20/2009 | Customer Dispute | Denied | $8,558.93 | $0.00 | See FINRA Report |
| Catherine Jane Grinney | 2888857 | 1 | 08/20/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Lee Wolfe | 3248955 | 1 | 08/19/2009 | Customer Dispute | Denied | $18,309.00 | $0.00 | See FINRA Report |