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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Peter McCoy | 2702961 | 2 | 11/24/1998 | Customer Dispute | Denied | $15,360.00 | $0.00 | See FINRA Report |
| Robert Bruce Cline | 824874 | 7 | 11/16/1998 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Robert Bruce Cline | 824874 | 7 | 11/16/1998 | Customer Dispute | Award / Judgment | $150,000.00 | $19,688.00 | See FINRA Report |
| Nancy Sherif Daoud | 1073514 | 8 | 11/13/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Anthony Youga | 1958908 | 2 | 11/05/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Obrien | 725026 | 4 | 11/05/1998 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 11/04/1998 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 10/30/1998 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Allan Caldwell | 1995182 | 2 | 10/30/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Keith Bunge | 1372354 | 1 | 10/29/1998 | Customer Dispute | Closed-No Action | $87,000.00 | $0.00 | See FINRA Report |