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 |
|---|---|---|---|---|---|---|---|---|
| Alain Maurice Connelly | 1956935 | 1 | 03/01/1994 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Edward Clarke Puglise | 4097227 | 1 | 02/24/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeri Margolis Glazer | 719333 | 3 | 02/16/1994 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Patricia Ann Groff | 4352607 | 1 | 02/11/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| MacE Barry Tamse | 1059666 | 6 | 01/11/1994 | Customer Dispute | Award / Judgment | $0.00 | $25,000.00 | See FINRA Report |
| John Holmes Wellington | 1314741 | 1 | 01/10/1994 | Customer Dispute | Award / Judgment | $5,000.00 | $1,573.50 | See FINRA Report |
| Robert Keith Incaprera | 1064833 | 6 | 12/01/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David William Westlund | 2204401 | 1 | 10/29/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Lucas Breen | 29606 | 3 | 10/21/1993 | Customer Dispute | Settled | $18,957.00 | $0.00 | See FINRA Report |
| David John de Rhodo | 1245299 | 2 | 10/21/1993 | Customer Dispute | Settled | $11,982.00 | $0.00 | See FINRA Report |