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 |
|---|---|---|---|---|---|---|---|---|
| Michael Jay Pepe | 1172861 | 9 | 04/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Patrick Clark | 2887168 | 3 | 04/18/2002 | Customer Dispute | Denied | $5,479.00 | $0.00 | See FINRA Report |
| Barbara Ann Case | 3077393 | 3 | 04/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Maurice Anthony Valdivieso | 1243889 | 1 | 04/17/2002 | Customer Dispute | Denied | $309,170.00 | $0.00 | See FINRA Report |
| David Alan Hirokane | 2739089 | 2 | 04/16/2002 | Customer Dispute | Closed-No Action | $202,961.00 | $0.00 | See FINRA Report |
| Raymond E Beck | 2158916 | 1 | 04/16/2002 | Customer Dispute | Denied | $127,788.00 | $0.00 | See FINRA Report |
| Hung The Vu | 2057298 | 3 | 04/15/2002 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| John Joseph Crespy | 4179566 | 1 | 04/15/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 04/12/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 04/11/2002 | Customer Dispute | Denied | $238,258.00 | $0.00 | See FINRA Report |