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 |
|---|---|---|---|---|---|---|---|---|
| Eugene George Simone | 424636 | 1 | 01/22/2001 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| Norman Arnold Robbins | 731352 | 7 | 01/22/2001 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Roger Edwin Sulhoff | 1057321 | 4 | 01/19/2001 | Customer Dispute | Denied | $8,382.06 | $0.00 | See FINRA Report |
| Eric Futoshi Fujimoto | 2482672 | 1 | 01/19/2001 | Customer Dispute | Denied | $20,458.40 | $0.00 | See FINRA Report |
| Larry Joseph Criss | 1904225 | 4 | 01/11/2001 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Anthony James Tsakakis | 2201434 | 1 | 01/10/2001 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Joseph John Stango | 1708432 | 1 | 01/09/2001 | Customer Dispute | Closed-No Action | $84,000.00 | $0.00 | See FINRA Report |
| Mark Howard Richmond | 1101238 | 4 | 01/09/2001 | Customer Dispute | Closed-No Action | $19,587.50 | $0.00 | See FINRA Report |
| Scott Alan Finley | 3088361 | 2 | 01/08/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Drew Peter Granauro | 2342905 | 2 | 01/05/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |