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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Lawrence Rabon | 4693367 | 1 | 09/01/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Wayne Messner | 1039868 | 3 | 07/27/1984 | Customer Dispute | Award / Judgment | $1,000,000.00 | $133,435.00 | See FINRA Report |
| Janice Marie Reed | 2309117 | 1 | 07/27/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremy Edward Dobson | 4988005 | 2 | 06/01/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Bruce Cline | 824874 | 7 | 06/01/1984 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Gregory James Rupert | 869996 | 1 | 05/24/1984 | Customer Dispute | Award / Judgment | $327.00 | $322.00 | See FINRA Report |
| Michael Jude Wincek | 870324 | 3 | 02/21/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan Pauline Emerson | 863229 | 2 | 03/02/1983 | Customer Dispute | Award / Judgment | $14,000.00 | $14,000.00 | See FINRA Report |
| Susan Pauline Emerson | 863229 | 2 | 03/02/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Allen Eastman | 2456282 | 4 | 02/26/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |