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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Patton | 7135644 | 1 | 11/15/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Edward Palazzo | 1023265 | 1 | 10/19/1988 | Customer Dispute | Award / Judgment | $31,388.60 | $4,250.00 | See FINRA Report |
| Jeffrey John Burns | 2113755 | 2 | 10/16/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Giroux | 4264626 | 1 | 09/23/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Riki Harada | 2282093 | 2 | 09/16/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Gregory Mennona | 1232328 | 5 | 09/16/1988 | Customer Dispute | Award / Judgment | $169,397.00 | $44,400.00 | See FINRA Report |
| Paul Allen Berkman | 1002769 | 5 | 08/11/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald James Matthewson | 323201 | 1 | 08/02/1988 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Russell Riki Harada | 2282093 | 2 | 08/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shawn Dorrough | 4268516 | 1 | 08/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |