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 |
|---|---|---|---|---|---|---|---|---|
| Randall James Hooper | 1900141 | 4 | 10/18/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Louis John Lanzalotto | 2508782 | 7 | 10/17/2001 | Customer Dispute | Denied | $180,000.00 | $0.00 | See FINRA Report |
| James Porter Volin | 1419920 | 1 | 10/16/2001 | Customer Dispute | Denied | $28,331.30 | $0.00 | See FINRA Report |
| Mark Thomas Sexton | 2338224 | 1 | 10/12/2001 | Customer Dispute | Settled | $18,556.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Crosby | 2473917 | 5 | 10/12/2001 | Customer Dispute | Denied | $20,619.80 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 10/09/2001 | Customer Dispute | Denied | $62,709.60 | $0.00 | See FINRA Report |
| John Lawrence Tucker | 2368194 | 1 | 10/09/2001 | Customer Dispute | Denied | $53,000.00 | $0.00 | See FINRA Report |
| Richard Timothy Kersting | 1835418 | 1 | 10/05/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Leandro Nogueira | 4645104 | 1 | 10/05/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Cruz | 2677238 | 1 | 10/03/2001 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |