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 |
|---|---|---|---|---|---|---|---|---|
| James McReynolds Callaway | 2373512 | 3 | 07/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Arnold Robbins | 731352 | 7 | 07/26/2001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Vincent Marchione | 1684008 | 2 | 07/25/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alfred George Weaver | 460549 | 3 | 07/24/2001 | Customer Dispute | Settled | $110,100.00 | $0.00 | See FINRA Report |
| John S Trecaso | 1849342 | 1 | 07/24/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert Lloyd Gutner | 1147280 | 4 | 07/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Guy Anthony Colella | 1646164 | 3 | 07/19/2001 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Zakkour H Chivi | 1987360 | 6 | 07/16/2001 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Keith Matthew Kordich | 2743797 | 6 | 07/16/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| David Richard Waynick | 2574940 | 1 | 07/13/2001 | Customer Dispute | Denied | $121,703.00 | $0.00 | See FINRA Report |