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 |
|---|---|---|---|---|---|---|---|---|
| James P Donahue | 1893815 | 1 | 01/23/1995 | Customer Dispute | Award / Judgment | $124,000.00 | $19,160.00 | See FINRA Report |
| Steven Levin | 1197388 | 7 | 01/11/1995 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Charles Allen Evans | 733216 | 5 | 01/09/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erik K Eide | 4724769 | 1 | 01/09/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Benton Perello | 6025922 | 1 | 12/23/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John R Coble | 4287621 | 3 | 12/10/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Neil Soiferman | 1990243 | 6 | 11/16/1994 | Customer Dispute | Settled | $32,420.20 | $0.00 | See FINRA Report |
| Sean Patrick Donnelly | 2680959 | 1 | 11/15/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Peretiatko | 1354199 | 3 | 11/09/1994 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Gerard Simonelli | 1431397 | 5 | 11/09/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |