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 |
|---|---|---|---|---|---|---|---|---|
| Kyle Kristopher Wallentine | 4997836 | 1 | 10/10/2022 | Customer Dispute | Denied | $7,700.00 | $0.00 | See FINRA Report |
| Anthony Joseph Spizzo | 2936291 | 2 | 09/28/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Emma Nicole Hahn | 7241667 | 1 | 09/27/2022 | Customer Dispute | Denied | $95,126.50 | $0.00 | See FINRA Report |
| Norman Robert Lemus | 5524913 | 1 | 09/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Inderpal Singh Anand | 2875643 | 1 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |
| Mandy Min Woo | 4179009 | 1 | 09/17/2022 | Customer Dispute | Denied | $230,000.00 | $0.00 | See FINRA Report |
| Douglas Bradford Gage | 2409551 | 1 | 09/16/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Nicholas Timothy O'Gwin | 4940059 | 1 | 09/14/2022 | Customer Dispute | Denied | $125,000,000.00 | $0.00 | See FINRA Report |
| Hendra Tanuwijaya | 2056380 | 2 | 09/06/2022 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |
| Dale Peter Silbaugh | 734877 | 3 | 08/29/2022 | Customer Dispute | Denied | $235,676.00 | $0.00 | See FINRA Report |