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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Gunther Haebich | 1922142 | 3 | 04/20/2001 | Customer Dispute | Settled | $34,234.00 | $0.00 | See FINRA Report |
| William Michael Steele | 2019042 | 2 | 04/19/2001 | Customer Dispute | Award / Judgment | $1,600,000.00 | $1,258,000.00 | See FINRA Report |
| Robert John Bacino | 2211290 | 1 | 04/19/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary John Slater | 3012359 | 1 | 04/11/2001 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Michael Lee Huffman | 2158610 | 1 | 04/11/2001 | Customer Dispute | Denied | $46,272.50 | $0.00 | See FINRA Report |
| Jay Perin Deane | 2519563 | 1 | 04/09/2001 | Customer Dispute | Settled | $5,015.89 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 04/06/2001 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Charles Christian Grinkmeyer | 2906437 | 2 | 04/04/2001 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Detlef Michael Schoeppler | 2759253 | 13 | 04/04/2001 | Customer Dispute | Settled | $28,061.00 | $0.00 | See FINRA Report |
| Arnel Collantes Gonzales | 1442718 | 1 | 04/04/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |