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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Mitchell Cohen | 1142967 | 3 | 01/27/2000 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Doreen Marcia Scott | 2671898 | 6 | 01/26/2000 | Customer Dispute | Settled | $7,650.00 | $0.00 | See FINRA Report |
| Robert Lucas Breen | 29606 | 3 | 01/12/2000 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Jennifer Baltic Osgood | 2329707 | 1 | 01/10/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gautam B Bose | 2426395 | 3 | 01/10/2000 | Customer Dispute | Denied | $9,450.30 | $0.00 | See FINRA Report |
| Ronald John Haley | 2395105 | 1 | 01/06/2000 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| John G Brewster | 1230554 | 2 | 12/28/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Maxwell Sherline | 2212153 | 6 | 12/28/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Thomas Schneider | 1727214 | 3 | 12/27/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Donald Erling | 2405762 | 1 | 12/21/1999 | Customer Dispute | Settled | $7,600.00 | $0.00 | See FINRA Report |