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 |
|---|---|---|---|---|---|---|---|---|
| Christopher James Mc Crossan | 1657398 | 1 | 04/03/2001 | Customer Dispute | Settled | $7,409.37 | $0.00 | See FINRA Report |
| Richard Barry Bernstein | 1782178 | 2 | 03/30/2001 | Customer Dispute | Denied | $9,702.86 | $0.00 | See FINRA Report |
| James Bruce Guthrie | 2562720 | 1 | 03/30/2001 | Customer Dispute | Denied | $675,000.00 | $0.00 | See FINRA Report |
| Robert Gerald Maas | 1742898 | 1 | 03/30/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ron C Penney | 1134623 | 1 | 03/28/2001 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| John Thomas Lentini | 1050628 | 2 | 03/27/2001 | Customer Dispute | Denied | $98,849.00 | $0.00 | See FINRA Report |
| Lance Hubeny | 1081828 | 3 | 03/27/2001 | Customer Dispute | Settled | $10,459.50 | $0.00 | See FINRA Report |
| Gordon Scott Shalek | 1557601 | 3 | 03/26/2001 | Customer Dispute | Denied | $14,700.00 | $0.00 | See FINRA Report |
| Lawrence Robert Boxer | 1957443 | 1 | 03/26/2001 | Customer Dispute | Denied | $14,700.00 | $0.00 | See FINRA Report |
| Gregory Merlin Thoen | 2237713 | 5 | 03/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |