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 |
|---|---|---|---|---|---|---|---|---|
| Charles Alvanos | 1271781 | 2 | 07/11/2001 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Daniel Norman Peters | 1009505 | 2 | 07/10/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John David Link | 2647984 | 2 | 07/09/2001 | Customer Dispute | Denied | $15,763.00 | $0.00 | See FINRA Report |
| Duane Paul Heiling | 2344152 | 5 | 07/08/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| David Lee Pimper | 1257514 | 10 | 06/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Beed Smith | 2177329 | 1 | 06/19/2001 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Chad Evan Nyitray | 2332391 | 2 | 06/18/2001 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Richard Lee Mundrane | 1060436 | 2 | 06/16/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gray Lawrence Goudeau | 2047906 | 1 | 06/15/2001 | Customer Dispute | Denied | $75,100.00 | $0.00 | See FINRA Report |
| Michael Joseph Rearden | 1974842 | 2 | 06/13/2001 | Customer Dispute | Settled | $1,500.00 | $0.00 | See FINRA Report |