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 |
|---|---|---|---|---|---|---|---|---|
| Regina Ruth Onkst | 1128989 | 6 | 06/11/1998 | Customer Dispute | Settled | $14,351.00 | $0.00 | See FINRA Report |
| Regina Ruth Onkst | 1128989 | 6 | 06/09/1998 | Customer Dispute | Settled | $41,463.00 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1536729 | 8 | 06/05/1998 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Regina Ruth Onkst | 1128989 | 6 | 06/04/1998 | Customer Dispute | Settled | $23,503.00 | $0.00 | See FINRA Report |
| Regina Ruth Onkst | 1128989 | 6 | 06/03/1998 | Customer Dispute | Settled | $17,077.00 | $0.00 | See FINRA Report |
| Jennifer Mary Ryba Spurgas | 4883684 | 2 | 06/02/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian David Emery | 4371229 | 3 | 05/29/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph Obrien | 725026 | 4 | 05/26/1998 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Regina Ruth Onkst | 1128989 | 6 | 05/19/1998 | Customer Dispute | Settled | $13,886.00 | $0.00 | See FINRA Report |
| Michael Allen Derflinger | 2939063 | 2 | 05/15/1998 | Customer Dispute | Settled | $132,216.00 | $0.00 | See FINRA Report |