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 E Carpmail | 2941792 | 7 | 06/14/2002 | Customer Dispute | Denied | $7,231.00 | $0.00 | See FINRA Report |
| John Frederick McLaughlin | 1407726 | 3 | 06/12/2002 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| Scott Gerhart McRoy | 1511853 | 1 | 06/12/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Wayne Mitchell Cohen | 1142967 | 3 | 06/12/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Gregory Allen Eastman | 2456282 | 4 | 06/11/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Meyer Horowitz | 1226215 | 2 | 06/11/2002 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| David Lee Pimper | 1257514 | 10 | 06/10/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Daniel John Harper | 1454610 | 1 | 06/07/2002 | Customer Dispute | Closed-No Action | $12,075.00 | $0.00 | See FINRA Report |
| Mark Eugene Haag | 4070338 | 1 | 06/05/2002 | Customer Dispute | Denied | $6,057.01 | $0.00 | See FINRA Report |
| Joseph Leone | 2084515 | 2 | 06/03/2002 | Customer Dispute | Denied | $16,051.50 | $0.00 | See FINRA Report |