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 |
|---|---|---|---|---|---|---|---|---|
| Gordon Scott Shalek | 1557601 | 3 | 03/21/2002 | Customer Dispute | Settled | $102,000.00 | $0.00 | See FINRA Report |
| Eric Allen Dryden | 2794860 | 1 | 03/20/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Matthew Rohner | 2686242 | 1 | 03/18/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Samuel Peter Bartoletta | 2457391 | 1 | 03/18/2002 | Customer Dispute | Settled | $2,000.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 03/16/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daryl F Devillier | 4069344 | 8 | 03/12/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Lee Nethery | 2185524 | 9 | 03/08/2002 | Customer Dispute | Denied | $125,400.00 | $0.00 | See FINRA Report |
| Kelly Lee Diestler | 2096901 | 12 | 03/08/2002 | Customer Dispute | Denied | $91,885.00 | $0.00 | See FINRA Report |
| William Edward Bredthauer | 2266233 | 4 | 03/08/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Chad David Meisner | 2606190 | 1 | 03/07/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |