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 |
|---|---|---|---|---|---|---|---|---|
| Nathaniel Ivan Krakow | 4941480 | 1 | 12/20/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey W Wheeler | 1059254 | 2 | 12/13/1999 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |
| Mark Thomas Schneider | 1727214 | 3 | 12/05/1999 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Jeremy Edward Dobson | 4988005 | 2 | 11/23/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Tao | 2505955 | 4 | 11/18/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Elmo Inouye | 6119906 | 1 | 11/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Ross | 2032447 | 3 | 11/17/1999 | Customer Dispute | Denied | $18,948.90 | $0.00 | See FINRA Report |
| Marc Frederick Strasser | 1044685 | 4 | 11/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Beth Leigh Deal | 2215907 | 5 | 11/16/1999 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Michael Brian Sprenger | 2507272 | 2 | 11/05/1999 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |