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 |
|---|---|---|---|---|---|---|---|---|
| Theodore Wilson Doyle | 1400016 | 2 | 03/17/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Stephen Hanley | 2289667 | 2 | 03/12/1998 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Catron | 5067827 | 1 | 03/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Warren Wayne Locke | 1102676 | 5 | 03/10/1998 | Customer Dispute | Closed-No Action | $324.72 | $0.00 | See FINRA Report |
| Tracy Goughnour Aufleger | 2317989 | 6 | 03/03/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Henry Bollum | 1314882 | 3 | 02/13/1998 | Customer Dispute | Settled | $158,722.00 | $0.00 | See FINRA Report |
| Roger Dean White | 2274788 | 1 | 02/11/1998 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Kim Chi Luu-Tu | 2894010 | 1 | 02/01/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thomas Connor Moss | 844872 | 6 | 01/28/1998 | Customer Dispute | Closed-No Action | $27,469.80 | $0.00 | See FINRA Report |
| Marc Douglas Arnold | 2692914 | 2 | 01/27/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |