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 |
|---|---|---|---|---|---|---|---|---|
| Erez Libschtein | 2599777 | 3 | 05/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Craig Dombroski | 816091 | 3 | 05/07/1998 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Alan J Goldfarb | 1392581 | 1 | 05/06/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael R Gould | 4065872 | 2 | 04/28/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Peter Flannery | 4709256 | 1 | 04/24/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Howard Frank | 1735281 | 3 | 04/18/1998 | Customer Dispute | Settled | $38,866.00 | $0.00 | See FINRA Report |
| James Joseph Obrien | 725026 | 4 | 04/13/1998 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Mathew Jay Higgins | 2618225 | 1 | 04/10/1998 | Customer Dispute | Closed-No Action | $32,000.00 | $0.00 | See FINRA Report |
| Landon Clyde Brake | 870031 | 5 | 04/08/1998 | Customer Dispute | Settled | $21,941.00 | $0.00 | See FINRA Report |
| Landon Clyde Brake | 870031 | 5 | 04/08/1998 | Customer Dispute | Settled | $20,582.00 | $0.00 | See FINRA Report |