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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Jay Hermening | 2070967 | 6 | 05/23/2002 | Customer Dispute | Closed-No Action | $10,800.00 | $0.00 | See FINRA Report |
| Robert Martin Denning | 873945 | 9 | 05/15/2002 | Customer Dispute | Settled | $788,476.00 | $0.00 | See FINRA Report |
| Philip Andrew Amick | 2691746 | 1 | 05/15/2002 | Customer Dispute | Award / Judgment | $165,726.00 | $75,000.00 | See FINRA Report |
| Joseph Walter Grund | 2398298 | 1 | 05/10/2002 | Customer Dispute | Withdrawn | $83,183.00 | $0.00 | See FINRA Report |
| Patrick Theodore Wayman | 2983371 | 5 | 05/07/2002 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Cindy Abramovic | 728734 | 2 | 05/06/2002 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| David Lee Pimper | 1257514 | 10 | 05/06/2002 | Customer Dispute | Settled | $233,898.00 | $0.00 | See FINRA Report |
| John Mark Willson | 2035475 | 3 | 04/26/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Eric N Lahtinen | 3087911 | 2 | 04/26/2002 | Customer Dispute | Denied | $5,050.00 | $0.00 | See FINRA Report |
| Jacqueline Anne Antone | 2314415 | 4 | 04/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |