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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Paul Lombardi | 7817269 | 1 | 01/11/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerard Joseph Hayes | 1215742 | 3 | 12/28/1998 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Christine Gustafson | 1303708 | 4 | 12/28/1998 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Richard Paul Gongorek | 864261 | 1 | 12/16/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Lamar Rice | 2343078 | 1 | 12/14/1998 | Customer Dispute | Settled | $27,812.50 | $0.00 | See FINRA Report |
| Robert Arthur Sutton | 715377 | 1 | 12/07/1998 | Customer Dispute | Award / Judgment | $100,000.00 | $2,700.00 | See FINRA Report |
| Diskin Gilford Morgan | 1261081 | 1 | 12/02/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Andrew Shontere | 2360767 | 3 | 11/30/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Guy Anthony Colella | 1646164 | 3 | 11/30/1998 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Rettig | 1090721 | 7 | 11/30/1998 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |