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 |
|---|---|---|---|---|---|---|---|---|
| David Robert Fox | 4114228 | 1 | 07/21/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gabriel Plaut | 874173 | 3 | 07/08/1994 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Michael Daniel Handzo | 2139593 | 1 | 07/07/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Allen Porter | 1269832 | 1 | 07/05/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rosario Cammarata | 2510256 | 1 | 06/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey W Wheeler | 1059254 | 2 | 06/29/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Joseph Vavruska | 1081194 | 4 | 06/23/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Jessie Powers | 4134428 | 1 | 06/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Dillon | 1928799 | 1 | 03/15/1994 | Customer Dispute | Award / Judgment | $7,656.00 | $1,690.00 | See FINRA Report |
| Joseph George Okeefe | 1940022 | 1 | 03/08/1994 | Customer Dispute | Settled | $229,744.00 | $0.00 | See FINRA Report |