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 |
|---|---|---|---|---|---|---|---|---|
| Richard Anthony Mazo | 2420230 | 2 | 03/16/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nancy Sherif Daoud | 1073514 | 8 | 03/16/2009 | Customer Dispute | Denied | $53,902.50 | $0.00 | See FINRA Report |
| Roberto Rivas | 2361510 | 3 | 03/16/2009 | Customer Dispute | Denied | $1,500.00 | $0.00 | See FINRA Report |
| Matthew Ryan Thompson | 4398484 | 1 | 03/12/2009 | Customer Dispute | Denied | $6,814.71 | $0.00 | See FINRA Report |
| Laura Anne Parker | 2246098 | 2 | 03/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent Michael Magee | 2720508 | 7 | 03/12/2009 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Dana Marie Ferrell | 2818732 | 2 | 03/11/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Matthew David Lewis | 4573408 | 3 | 03/11/2009 | Customer Dispute | Denied | $123,195.00 | $0.00 | See FINRA Report |
| Douglas Benjamin Schrager | 1557110 | 6 | 03/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Ernest Cioffi | 1391554 | 1 | 03/09/2009 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |