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 |
|---|---|---|---|---|---|---|---|---|
| Detlef Michael Schoeppler | 2759253 | 13 | 01/23/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Patrick Barbaro | 3131785 | 3 | 01/15/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Marc Levy | 4570370 | 1 | 01/08/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Ben Mirer | 336638 | 9 | 11/12/1986 | Customer Dispute | Award / Judgment | $123,750.00 | $3,750.00 | See FINRA Report |
| Arthur Grossbard | 1020971 | 3 | 11/04/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Dale Baker | 1015222 | 1 | 09/08/1986 | Customer Dispute | Settled | $238,000.00 | $0.00 | See FINRA Report |
| Christopher John Fucci | 1684506 | 1 | 07/26/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David William Turnbull | 3206368 | 1 | 07/24/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan Ray Starr | 1076717 | 2 | 07/21/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Jesus Fernandez | 7700670 | 3 | 06/18/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |