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 |
|---|---|---|---|---|---|---|---|---|
| Colin Calvin Rath | 1305387 | 2 | 06/15/1993 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Shelly J Donovan | 1001389 | 10 | 05/19/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Sidney Herzikoff | 244425 | 5 | 05/17/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas John Temeyer | 2614865 | 1 | 05/16/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Joseph Coussens | 730556 | 3 | 05/13/1993 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| James Sidney Herzikoff | 244425 | 5 | 04/15/1993 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| William Albert Roberts | 401188 | 3 | 04/07/1993 | Customer Dispute | Settled | $480,000.00 | $0.00 | See FINRA Report |
| Charles Michael Harvey | 1412569 | 3 | 04/01/1993 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Brian James Venn | 3167657 | 1 | 03/29/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patricia Francine Grazioso | 1013680 | 5 | 03/24/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |