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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lawrence Waxman | 726016 | 1 | 03/23/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Edwin Lindberg | 2113381 | 1 | 03/19/1999 | Customer Dispute | Denied | $6,429.30 | $0.00 | See FINRA Report |
| Ramon Scott Bowers | 1390771 | 1 | 03/18/1999 | Customer Dispute | Settled | $18,300.00 | $0.00 | See FINRA Report |
| Gary Wayne Gassmann | 2013892 | 1 | 03/18/1999 | Customer Dispute | Denied | $22,790.00 | $0.00 | See FINRA Report |
| Mark D Permenter | 1571527 | 2 | 03/16/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Obrien | 725026 | 4 | 03/16/1999 | Customer Dispute | Settled | $460,000.00 | $0.00 | See FINRA Report |
| Colin Peter Creegan | 3175361 | 1 | 03/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Lee Turner | 2252485 | 4 | 03/15/1999 | Customer Dispute | Settled | $10,036.10 | $0.00 | See FINRA Report |
| Joseph F Pierce | 1987094 | 3 | 03/15/1999 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| Frank Paul Janowitsch | 2230714 | 2 | 03/09/1999 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |