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 |
|---|---|---|---|---|---|---|---|---|
| Steven Thomas Marshall | 1254401 | 2 | 08/28/2002 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Stephen Matthew Baker | 4330054 | 1 | 08/27/2002 | Customer Dispute | Settled | $6,551.00 | $0.00 | See FINRA Report |
| Thomas Jeremiah Moher | 2422778 | 3 | 08/27/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bradley Gene Walkoviak | 5333349 | 2 | 08/24/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanley Robert Jahn | 850546 | 3 | 08/22/2002 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| Jose Luis Godinez | 2311914 | 1 | 08/21/2002 | Customer Dispute | Denied | $10,330.00 | $0.00 | See FINRA Report |
| David Lee Pimper | 1257514 | 10 | 08/21/2002 | Customer Dispute | Settled | $426,420.00 | $0.00 | See FINRA Report |
| Jeanine Marie Cazaubon | 1092524 | 1 | 08/21/2002 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Victor Peretiatko | 1354199 | 3 | 08/20/2002 | Customer Dispute | Award / Judgment | $450,000.00 | $37,500.00 | See FINRA Report |
| Randall Thomas White | 1526097 | 2 | 08/20/2002 | Customer Dispute | Denied | $167,536.00 | $0.00 | See FINRA Report |