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 |
|---|---|---|---|---|---|---|---|---|
| Robert Eugene Sherman | 2305832 | 2 | 04/30/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Sandberg | 1949867 | 11 | 04/22/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Neil Soiferman | 1990243 | 6 | 02/28/1996 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| John Tao | 2505955 | 4 | 02/23/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Landon Clyde Brake | 870031 | 5 | 02/14/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Jose Bertran | 2047469 | 6 | 02/06/1996 | Customer Dispute | Award / Judgment | $14,000.00 | $1.00 | See FINRA Report |
| Thomas Stephen Cooper | 2129116 | 3 | 02/06/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Martin Denning | 873945 | 9 | 01/18/1996 | Customer Dispute | Award / Judgment | $0.00 | $67,000.00 | See FINRA Report |
| Douglas Brian Marx | 1224673 | 6 | 01/17/1996 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Mark Stuart Kruse | 2124864 | 2 | 01/02/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |