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 |
|---|---|---|---|---|---|---|---|---|
| Paul Gordon | 1027219 | 5 | 12/05/2000 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Paul Matthew Smith | 2173826 | 3 | 12/04/2000 | Customer Dispute | Denied | $64,935.00 | $0.00 | See FINRA Report |
| Jane Ann Berryman | 3248554 | 2 | 12/04/2000 | Customer Dispute | Settled | $23,961.10 | $0.00 | See FINRA Report |
| Joseph Patrick Foy | 1174654 | 1 | 12/01/2000 | Customer Dispute | Closed-No Action | $170,000.00 | $0.00 | See FINRA Report |
| Douglas Wayne Messner | 1039868 | 3 | 11/29/2000 | Customer Dispute | Denied | $64,000.00 | $0.00 | See FINRA Report |
| Brian Michael Megibow | 3083501 | 4 | 11/28/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Patrick Atwater | 5993415 | 1 | 11/27/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Douglas Swartz | 2419915 | 1 | 11/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Sullivan | 723427 | 7 | 11/14/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Michael Steele | 2019042 | 2 | 11/10/2000 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |