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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Alan Geller | 1772915 | 3 | 02/12/1999 | Customer Dispute | Award / Judgment | $10,000.00 | $2,000.00 | See FINRA Report |
| Leonard Alan Krenek | 2405904 | 10 | 02/08/1999 | Customer Dispute | Settled | $670,000.00 | $0.00 | See FINRA Report |
| John Joseph Hlivko | 2005606 | 3 | 02/04/1999 | Customer Dispute | Settled | $3,941.92 | $0.00 | See FINRA Report |
| Patricia Ann Koney | 1575184 | 1 | 02/03/1999 | Customer Dispute | Closed-No Action | $26,911.60 | $0.00 | See FINRA Report |
| Robert Gregory Mennona | 1232328 | 5 | 02/03/1999 | Customer Dispute | Denied | $98,979.00 | $0.00 | See FINRA Report |
| Michael Richard Misner | 1184111 | 1 | 02/02/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Gaines Drago | 858785 | 4 | 01/22/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy J O'Connor | 1672880 | 3 | 01/22/1999 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Robert Henry Bastiaans | 838778 | 2 | 01/18/1999 | Customer Dispute | Closed-No Action | $49,497.20 | $0.00 | See FINRA Report |
| Timothy Eugene Gardner | 2480619 | 1 | 01/14/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |