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 |
|---|---|---|---|---|---|---|---|---|
| Michael Todd Wyatt | 5709972 | 1 | 06/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Andrew Taub | 2100260 | 4 | 06/28/1999 | Customer Dispute | Pending | $5,013.79 | $0.00 | See FINRA Report |
| Richard Michael Gagne | 1941563 | 1 | 06/24/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Simon David Lewis | 2143351 | 8 | 06/24/1999 | Customer Dispute | Pending | $0.00 | $5,000.00 | See FINRA Report |
| Patrick Dolan Oleary | 2177532 | 1 | 06/18/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Brizzolara | 1302618 | 1 | 06/16/1999 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Detlef Michael Schoeppler | 2759253 | 13 | 06/15/1999 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Michael Dennis Hannon | 2441184 | 3 | 06/02/1999 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Matthew L Rea | 1915144 | 3 | 06/02/1999 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Matthew L Rea | 1915144 | 3 | 06/01/1999 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |