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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Clark Hodgkiss | 3099793 | 3 | 07/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Donald Shelp | 1402904 | 1 | 07/07/2009 | Customer Dispute | Denied | $20,684.30 | $0.00 | See FINRA Report |
| James Ralph Williams | 2331739 | 1 | 07/07/2009 | Customer Dispute | Denied | $429,000.00 | $0.00 | See FINRA Report |
| Joseph Gerald Della Monica | 2723672 | 2 | 06/25/2009 | Customer Dispute | Denied | $22,145.50 | $0.00 | See FINRA Report |
| Victor Ernesto Matthews | 1113438 | 1 | 06/23/2009 | Customer Dispute | Denied | $21,500.00 | $0.00 | See FINRA Report |
| Henry Joseph Cormier | 727574 | 5 | 06/23/2009 | Customer Dispute | Denied | $12,406.30 | $0.00 | See FINRA Report |
| Roger James van Loo | 4858060 | 3 | 06/22/2009 | Customer Dispute | Denied | $7,094.40 | $0.00 | See FINRA Report |
| Christopher Gregory Millio | 3109853 | 1 | 06/19/2009 | Customer Dispute | Denied | $300,766.00 | $0.00 | See FINRA Report |
| Christopher Waye Jeng | 2985569 | 2 | 06/14/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brian Jesse Singleton | 4838440 | 2 | 06/10/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |