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 |
|---|---|---|---|---|---|---|---|---|
| Norman Arnold Robbins | 731352 | 7 | 03/12/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Clifford Bryant | 3058351 | 1 | 02/23/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Regan Tremayne Johnson | 5847158 | 3 | 02/14/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gordon Leonard Bryan | 1292315 | 5 | 02/09/1990 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Robyn Zitzewitz Rose | 2548769 | 2 | 02/06/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Bruce Cline | 824874 | 7 | 01/01/1990 | Customer Dispute | Award / Judgment | $34,500.00 | $5,660.00 | See FINRA Report |
| Michael Robert Howe | 1047964 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Arnold Robbins | 731352 | 7 | 12/26/1989 | Customer Dispute | Award / Judgment | $20,000.00 | $2,327.90 | See FINRA Report |
| Regan Tremayne Johnson | 5847158 | 3 | 12/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Steven Rock | 1451592 | 9 | 12/01/1989 | Customer Dispute | Award / Judgment | $100,000.00 | $101,550.00 | See FINRA Report |