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 |
|---|---|---|---|---|---|---|---|---|
| Geoffrey H White | 1378852 | 1 | 12/12/2001 | Customer Dispute | Settled | $112,500.00 | $0.00 | See FINRA Report |
| John A Erickson | 834150 | 4 | 12/11/2001 | Customer Dispute | Settled | $40,604.00 | $0.00 | See FINRA Report |
| Michael Fred Zanders | 475794 | 7 | 12/11/2001 | Customer Dispute | Settled | $145,668.00 | $0.00 | See FINRA Report |
| Michael James Cook | 2170952 | 1 | 12/10/2001 | Customer Dispute | Denied | $13,805.00 | $0.00 | See FINRA Report |
| Aaron Christopher Piatko | 4424262 | 1 | 12/05/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Philip Velzke | 2442656 | 2 | 12/04/2001 | Customer Dispute | Denied | $38,308.80 | $0.00 | See FINRA Report |
| Joss D'Souza | 2705057 | 1 | 11/27/2001 | Customer Dispute | Withdrawn | $245,000.00 | $0.00 | See FINRA Report |
| Jeff Richard Bank | 1577796 | 9 | 11/14/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Marc Gendell | 3015427 | 1 | 11/13/2001 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 11/13/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |