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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Albert Tomasulo | 5939322 | 1 | 09/23/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Samuel Karfis | 2457446 | 1 | 09/05/2000 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Thomas Pettinger Shortreed | 2980611 | 1 | 08/29/2000 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Theodore Charles Jackson | 1414259 | 2 | 08/24/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Miller | 2921914 | 4 | 08/22/2000 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Roger Edward Kiefer | 2322638 | 4 | 08/17/2000 | Customer Dispute | Denied | $42,596.40 | $0.00 | See FINRA Report |
| David Ross Thompson | 2504328 | 3 | 08/10/2000 | Customer Dispute | Award / Judgment | $5,000.00 | $1,250.00 | See FINRA Report |
| Robert Vaughn Lester | 714813 | 2 | 08/07/2000 | Customer Dispute | Denied | $86,635.00 | $0.00 | See FINRA Report |
| Scott Bradly Conti | 2105909 | 5 | 07/31/2000 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Michael Teahan | 2112398 | 1 | 07/31/2000 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |