Ameriprise Financial Services Tag Archives

Broker Drew Peacock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peacock recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $45,000.00 on November 11, 2025.

Claimant alleges that in January and February 2023, advisor Peacock recommended she purchase Activision Blizzard bonds with interest rates of 1.35% and 2.5%, and maturities in 2030 and 2050. Claimant further alleges that the bonds were unsuitable, risky, and in significant concentrations in the Claimant\\u2019s portfolio.

There are Recent Customer Complaints with Broker Corey Schepper in Firm Ameriprise Financial Services, LLC

December 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Schepper (Schepper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schepper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on December 16, 2021.

Claimant alleges financial advisor recommended unsuitable investments

Broker Andrew Hess in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on January 10, 2022.

Claimants allege that Respondent failed to properly allocate and diversify their investment portfolio and that they were recommended unsuitable alternative investments including Carey Watermark/Watermark Lodging Trust REIT and FSEP.

There are Recent Customer Complaints with Broker Kim Dingee in Firm Ameriprise Financial Services, LLC

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Dingee (Dingee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dingee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,999.99 on January 21, 2022.

Claimant alleges that she was sold an unsuitable, risky and complex alternative investment product, FSKR

Broker Kevin Houser in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Houser (Houser), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houser recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $244,000.00 on February 03, 2022.

Claimants allege that while they were at LPL, they were recommended the following unsuitable, speculative, high-risk investments: FSKR, FSEP, Cole Credit Property Trust IV and CIM Real Estate Finance Trust.

Broker Randy Wilson in Ameriprise Financial Services, INC. Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Wilson (Wilson), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on February 04, 2022.

Claimant alleges that in July 2021, she discovered that her former advisor: obtained a POA for her accounts; induced her to execute a new Will appointing himself him as Executor and a beneficiary of her Estate; obtained a life insurance policy and a variable annuity naming himself a beneficiary through the Estate; and obtained approximately $83k in loans from Claimant which have not been repaid. . On 8/23/22, Ameriprise Financial filed a Third-Party Statement of Claim against Wilson for contractual and common law indemnification.

Broker Eugene Weinstein in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Weinstein (Weinstein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weinstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on February 28, 2022.

Client alleged that the risks associated with utilizing Exchange Traded Fund (ETF) Index Options was misrepresented by their advisor, resulting in losses.

There are Recent Customer Complaints with Broker John Rodriguez in Firm Ameriprise Financial Services, LLC

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rodriguez (Rodriguez), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on March 08, 2022.

Clients alleged they were not made aware of tax implications incurred due to the advisor’s sell recommendations made in September 2021.

Broker Richard Brende in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brende (Brende), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brende recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,228.04 on April 07, 2022.

The client alleged the advisor recommended an inappropriate closed end mutual fund in September of 2021.

There are Recent Customer Complaints with Broker Brent Makarczyk in Firm Ameriprise Financial Services, LLC

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Makarczyk (Makarczyk), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Makarczyk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $414,500.00 on April 01, 2022.

Claimants allege that in around 2010, they were sold two unsuitable variable life insurance policies and a variable annuity.