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 |
|---|---|---|---|---|---|---|---|---|
| Mark Anthony Gabriel | 1750956 | 2 | 04/14/2021 | Customer Dispute | Dismissed | $50,000.00 | $0.00 | See FINRA Report |
| Donald Edgar Bates | 2612645 | 1 | 08/07/2017 | Customer Dispute | Dismissed | $460,000.00 | $0.00 | See FINRA Report |
| Jose Antonio Vasquez | 2104957 | 10 | 08/21/2015 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| John Jackson Hughes | 2648376 | 3 | 03/01/2012 | Customer Dispute | Dismissed | $71,211.00 | $0.00 | See FINRA Report |
| Douglas Andrew Duvall | 4315958 | 1 | 04/15/2010 | Customer Dispute | Dismissed | $74,280.00 | $0.00 | See FINRA Report |