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 |
|---|---|---|---|---|---|---|---|---|
| Jeff Richard Bank | 1577796 | 9 | 03/23/2009 | Customer Dispute | Denied | $26,224.00 | $0.00 | See FINRA Report |
| Gary Thomas Ward | 2789804 | 3 | 03/20/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Samuel Albert Rothberg | 1615465 | 1 | 03/18/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary I Romaine | 2937873 | 1 | 03/18/2009 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Joseph Patrick Miller | 2921914 | 4 | 03/18/2009 | Customer Dispute | Denied | $23,742.40 | $0.00 | See FINRA Report |
| Ronald Wingkai Lam | 3067765 | 5 | 03/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Evan Scott Branfman | 3270650 | 5 | 03/17/2009 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Jeff R Thomsen | 2885994 | 4 | 03/17/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sylvia Jean Frattallone | 2530542 | 3 | 03/17/2009 | Customer Dispute | Denied | $70,500.00 | $0.00 | See FINRA Report |
| Carol Elaine Biladeau | 2127436 | 2 | 03/16/2009 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |