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 |
|---|---|---|---|---|---|---|---|---|
| Richard Bryan Pitt | 2572619 | 1 | 07/22/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Frank Miller Staves | 2296731 | 3 | 07/19/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Geraldine Gordon | 2499098 | 9 | 07/18/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Neil Krinsky | 4147792 | 8 | 07/18/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Benjamin Schrager | 1557110 | 6 | 07/18/2002 | Customer Dispute | Settled | $451,000.00 | $0.00 | See FINRA Report |
| Stuart Max Gollomp | 1439540 | 1 | 07/17/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jac Burton Stulberg | 1473233 | 9 | 07/17/2002 | Customer Dispute | Settled | $1,900,000.00 | $0.00 | See FINRA Report |
| Anthony Baldi | 1550430 | 3 | 07/16/2002 | Customer Dispute | Settled | $33,093.00 | $0.00 | See FINRA Report |
| Douglas Heath McCulloch | 2960829 | 2 | 07/15/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Steven Dean Jones | 1783656 | 3 | 07/15/2002 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See FINRA Report |