Ameriprise Financial Services Tag Archives

There are Recent Customer Complaints with Broker Kathryn Larson in Firm Ameriprise Financial Services, LLC

March 17, 2026 | by Staff Attorney

Previously financial advisor Kathryn Larson (Larson), previously employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 09, 2020.

Claimant alleges that she was recommended to invest in an unsuitable and risky product, FKSSR II, a privately traded BDC.

There are Recent Customer Complaints with Broker Brian Mccabe in Firm Ameriprise Financial Services, LLC

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 27, 2021.

Claimant, as trustee of the former client\\u00e2? ?s trust, alleges that Respondents breached its duties when it failed to provide copies of the trust, failed to keep the beneficiaries informed, and failed to preserve the residential home following the client’s death on 11/13/2018. Claimant seeks damages in an unspecified amount.

Broker Velma Colfack in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Velma Colfack (Colfack), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colfack 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 $20,174.19 on February 10, 2021.

Plaintiffs allege breaches of fiduciary duties and negligence in connection with the execution of change of beneficiary instructions allegedly provided by account holder. Activity time period is 6/20/20 – 10/20/20

There are Recent Customer Complaints with Broker Evguenia Funderburk in Firm Ameriprise Financial Services, LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evguenia Funderburk (Funderburk), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Funderburk 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 $15,000.00 on December 29, 2025.

The client alleged her advisor misrepresented how funds were made available to her for withdrawal in 2022 and 2023, creating a margin loan within the client’s account.

There are Recent Customer Complaints with Broker Francisco Cabral in Firm Ameriprise Financial Services, LLC

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Cabral (Cabral), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cabral 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 $150,000.00 on January 12, 2026.

Allegations: unsuitability, misrepresentations and omissions and breach of fiduciary duty. Allegation period: April 16, 2019, the date of the first purchase of Energy 12 to January 12, 2026, the date the SOC was received.

There are Recent Customer Complaints with Broker Craig Eastwood in Firm Ameriprise Financial Services, LLC

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 15, 2021.

Claimant alleges that in November 2017 her advisor recommended an unsuitable investment in a non-qualified variable annuity. Claimant seeks unspecified damages.

Broker Douglas Smith in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Smith (Smith), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $14,540.88 on March 17, 2021.

The client alleged an equity security was sold in January 2021 without her authorization.

There are Recent Customer Complaints with Broker Todd Bauman in Firm Ameriprise Financial Services, LLC

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bauman (Bauman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bauman 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 $1,409,721.00 on March 31, 2021.

Claimant alleges that he was given negligent investment advice and recommended unsuitable investments resulting in investment losses in excess of $800,000.

Broker Lonnie Benzinger in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lonnie Benzinger (Benzinger), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benzinger 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 $146,000.00 on April 05, 2021.

Claimants allege that they were was recommended an unsuitable, high-commission, high-risk, and speculative alternative investments: FSKR, FSEnergy and CNL Healthcare Properties REIT.

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

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mukomela (Mukomela), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukomela 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 $100,000.00 on April 09, 2021.

The complainants allege that in 2014, they were solicited by the rep to invest in a REIT and were told that it was a solid, asset backed investment that would pay consistent income with principal protection. They have since learned that income is no longer being paid, it is non-traded, rated below investment grade and is subject to volatility, which has caused them to be financially damaged.