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 |
|---|---|---|---|---|---|---|---|---|
| Charles Verle Allen | 1462060 | 1 | 04/14/2000 | Customer Dispute | Settled | $12,018.40 | $0.00 | See FINRA Report |
| Christopher Santos Cagadas | 4624589 | 2 | 04/13/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mary Haluska | 1571233 | 3 | 04/12/2000 | Customer Dispute | Denied | $5,359.90 | $0.00 | See FINRA Report |
| Ernest Velez | 1571990 | 1 | 04/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Sommerfield | 3015378 | 1 | 04/07/2000 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Emmett Russell Ray | 2384270 | 3 | 04/05/2000 | Customer Dispute | Settled | $13,708.00 | $0.00 | See FINRA Report |
| Douglas Earl Milbrath | 2155505 | 4 | 04/05/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Landon Clyde Brake | 870031 | 5 | 03/20/2000 | Customer Dispute | Denied | $9,601.00 | $0.00 | See FINRA Report |
| Landon Clyde Brake | 870031 | 5 | 03/20/2000 | Customer Dispute | Settled | $6,837.00 | $0.00 | See FINRA Report |
| Michelle Robyn Harf-Grim | 2416573 | 1 | 03/20/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |