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 |
|---|---|---|---|---|---|---|---|---|
| Carl William Heick | 1218327 | 97 | 01/03/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| David Alan Basinger | 1664267 | 1 | 12/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gordon Adam Rennard | 2569787 | 2 | 12/24/2001 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| John David Link | 2647984 | 2 | 12/24/2001 | Customer Dispute | Denied | $20,500.00 | $0.00 | See FINRA Report |
| Hung The Vu | 2057298 | 3 | 12/21/2001 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Phil Nguyen | 2430236 | 2 | 12/20/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 12/19/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Jason Andrew Taub | 2100260 | 4 | 12/17/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Notermann | 1549413 | 4 | 12/14/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Luis Gerardo Landin | 3091788 | 3 | 12/13/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |