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 |
|---|---|---|---|---|---|---|---|---|
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Augustine Dominique Choi | 4278755 | 5 | 04/13/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/13/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 03/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 03/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 03/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 03/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Soriano | 7070605 | 2 | 03/03/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Weinstein | 5441968 | 1 | 02/28/2022 | Customer Dispute | Final | $1,000,000.00 | $0.00 | See FINRA Report |