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 |
---|---|---|---|---|---|---|---|---|
William Harvey McCall | 324889 | 2 | 11/25/1992 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
Tara Jean Showalter | 4619096 | 1 | 11/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Daniel Sean Spencer | 3068294 | 2 | 11/12/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Lawrence Ted Schimel | 413418 | 1 | 11/06/1992 | Customer Dispute | Settled | $21,444.40 | $0.00 | See FINRA Report |
James Patrick Foley | 1425205 | 3 | 10/28/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Mark David Cohen | 1293263 | 1 | 10/10/1992 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
William Earl Penland | 3029474 | 3 | 10/07/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Donald Gerard Ritley | 700869 | 2 | 10/01/1992 | Customer Dispute | Settled | $48,750.00 | $0.00 | See FINRA Report |
Lawrence Alan Hess | 2527962 | 1 | 09/30/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
William Albert Roberts | 401188 | 3 | 09/23/1992 | Customer Dispute | Settled | $224,982.00 | $0.00 | See FINRA Report |