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 Lawrence Mazur | 2723770 | 1 | 02/07/2002 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Jeffery Dale Chaddock | 1837499 | 5 | 02/07/2002 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Michel Ross Girardi | 1101575 | 7 | 02/06/2002 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Deniz Tuncay Franke | 1597507 | 4 | 02/06/2002 | Customer Dispute | Closed-No Action | $308,000.00 | $0.00 | See FINRA Report |
| James Edward Herring | 6260302 | 1 | 02/01/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph William Ellis | 2427967 | 2 | 01/31/2002 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Theophanis Cr Pericleous | 1811765 | 3 | 01/31/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Henry Harbour | 2171575 | 3 | 01/31/2002 | Customer Dispute | Settled | $122,000.00 | $0.00 | See FINRA Report |
| Leon Carter | 1272826 | 5 | 01/29/2002 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Miller | 2112508 | 2 | 01/28/2002 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |