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 |
|---|---|---|---|---|---|---|---|---|
| David Neil Soiferman | 1990243 | 6 | 07/09/2009 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Lana M Engen | 713037 | 2 | 06/25/2009 | Customer Dispute | Withdrawn | $330,000.00 | $0.00 | See FINRA Report |
| Alan A Melamed | 2834475 | 2 | 03/18/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Gregory Clint Musick | 4447602 | 2 | 11/24/2008 | Customer Dispute | Withdrawn | $8,486.79 | $0.00 | See FINRA Report |
| Todd Kirk Volkart | 2594317 | 3 | 11/20/2008 | Customer Dispute | Withdrawn | $16,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Smith | 2272962 | 2 | 11/19/2008 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Shane Todd Sherwood | 4041952 | 1 | 11/18/2008 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Lisa Jeanine Wilson | 4481955 | 1 | 10/21/2008 | Customer Dispute | Withdrawn | $8,531.95 | $0.00 | See FINRA Report |
| Joseph Robert Rettig | 1090721 | 7 | 09/17/2008 | Customer Dispute | Withdrawn | $220,009.00 | $0.00 | See FINRA Report |
| Jason James Nardella | 2931678 | 2 | 09/04/2008 | Customer Dispute | Withdrawn | $38,000.00 | $0.00 | See FINRA Report |