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| Jeffrey Alan Greenwald | 1698871 | 2 | 10/28/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 10/27/1998 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael Paul Rinaldo | 1663502 | 1 | 10/27/1998 | Customer Dispute | Withdrawn | $14,300.00 | $0.00 | See FINRA Report |
| Gerald Kennedy Holman | 2705888 | 1 | 10/19/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick James Tiernan | 1724047 | 1 | 10/19/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Antone Peter Keller | 266486 | 1 | 10/15/1998 | Customer Dispute | Closed-No Action | $32,396.00 | $0.00 | See FINRA Report |
| Audrey K Croft | 4178028 | 13 | 10/15/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Darrell Glen Cleary | 1670508 | 2 | 10/09/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 10/02/1998 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 10/02/1998 | Customer Dispute | Settled | $4,700,000.00 | $0.00 | See FINRA Report |