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 |
|---|---|---|---|---|---|---|---|---|
| Michael Allen Derflinger | 2939063 | 2 | 08/19/2009 | Customer Dispute | Denied | $18,309.00 | $0.00 | See FINRA Report |
| Minglei Li | 5079378 | 1 | 08/19/2009 | Customer Dispute | Denied | $15,335.00 | $0.00 | See FINRA Report |
| Mark Angelo Palazzolo | 1661776 | 2 | 08/17/2009 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Michael Lewis Price | 822349 | 1 | 08/14/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Tracy Michele Redmon | 2937042 | 1 | 08/13/2009 | Customer Dispute | Denied | $9,500.00 | $0.00 | See FINRA Report |
| Rodney A Meyering | 4398689 | 2 | 08/13/2009 | Customer Dispute | Denied | $5,483.00 | $0.00 | See FINRA Report |
| Mitchell Clark Hodgkiss | 3099793 | 3 | 08/12/2009 | Customer Dispute | Denied | $74,175.00 | $0.00 | See FINRA Report |
| Todd Paul Bauman | 2631144 | 4 | 08/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Barrios Crisologo | 2509727 | 7 | 08/07/2009 | Customer Dispute | Denied | $309,949.00 | $0.00 | See FINRA Report |
| Thomas Stephen Cooper | 2129116 | 3 | 08/06/2009 | Customer Dispute | Denied | $15,588.00 | $0.00 | See FINRA Report |