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 |
|---|---|---|---|---|---|---|---|---|
| Randy Lee Groff | 2947191 | 1 | 11/11/2002 | Customer Dispute | Denied | $43,000.00 | $0.00 | See FINRA Report |
| Mark Steven Galaini | 810023 | 5 | 11/11/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Mark Angelo Palazzolo | 1661776 | 2 | 11/11/2002 | Customer Dispute | Settled | $11,324.80 | $0.00 | See FINRA Report |
| Gregory Merlin Thoen | 2237713 | 5 | 11/11/2002 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Stephen Frederick Oneill | 2273754 | 1 | 11/11/2002 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |
| Geoffrey Ellis Orbach | 1759363 | 4 | 11/08/2002 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Christopher | 1028948 | 4 | 11/08/2002 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Kevin Jay Hermening | 2070967 | 6 | 11/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Patrick Shelley | 1276771 | 1 | 11/07/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Terry Glenn Bradford | 3070884 | 1 | 11/05/2002 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |