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 |
|---|---|---|---|---|---|---|---|---|
| Charles Timothy Hurtt | 2746163 | 2 | 06/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew David Lewis | 4573408 | 3 | 06/09/2009 | Customer Dispute | Denied | $23,967.90 | $0.00 | See FINRA Report |
| Gary Lee Truax | 2870055 | 2 | 06/05/2009 | Customer Dispute | Denied | $19,995.00 | $0.00 | See FINRA Report |
| Paul A Hees | 1919525 | 1 | 06/01/2009 | Customer Dispute | Denied | $159,000.00 | $0.00 | See FINRA Report |
| Duc Tien Tran | 3095273 | 6 | 05/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia Francine Grazioso | 1013680 | 5 | 05/26/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Coffield | 1216018 | 7 | 05/21/2009 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Joan Pandola Nye | 1485593 | 2 | 05/20/2009 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Peter Goletz | 4328134 | 1 | 05/18/2009 | Customer Dispute | Denied | $25,017.40 | $0.00 | See FINRA Report |
| Michael Leroy Kreuziger | 2387532 | 1 | 05/14/2009 | Customer Dispute | Denied | $16,935.00 | $0.00 | See FINRA Report |