Articles Tagged with Ameriprise Financial Services

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Guinta (Guinta), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guinta 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 $49,999.99  on June 01, 2020.

Client through attorney, alleges breach of fiduciary duty, misrepresentation and unsuitable investment recommendations by RR from August 2012 through October 2016.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Abrams (Abrams), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abrams 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 $20,000.00  on June 01, 2020.

Claimant alleges respondent recommended unsuitable investments in FS Energy and Power and Corporate Capital Trust for his children’s college savings. His causes of action are negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, and violations of FINRA’s conduct rules.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Nagy (Nagy), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nagy 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 $15,153.91  on June 23, 2020.

Client alleges that the Municipal Securities mutual fund that he purchased was not suitable for him based on his risk tolerance. Purchase date August 2019; resolution date July 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Frederich (Frederich), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Frederich 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 $179,000.00  on June 30, 2020.

The clients’ attorney alleged the advisor implemented a managed account portfolio without the clients’ authorization.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Turetzky (Turetzky), previously associated with Ameriprise Financial Services, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Turetzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 02, 2020.

Claimants allege, failure to supervise with respect to Financial Advisor’s management of accounts – July 2014 to December 2016

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horan (Horan), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horan 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 $13,160.68  on March 03, 2020.

Client alleges purchases in Waitr Holdings (WTHR) were unsuitable, and as a result of the June 12, 2018 and October 2, 2018 purchases she has an unrealized loss of $10,000.00. Client additionally alleges the fee she agreed upon in her signed contract (1.25%) was more than discussed (1.00%)

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.

The client alleged the advisor failed to apply 10% trailing stop orders on all eligible positions in his accounts as instructed on January 9, 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duane Heiling (Heiling), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heiling 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 $12,000.00  on March 18, 2020.

The client alleged the advisor failed to follow instructions to liquidate mutual fund security positions in his account(s) in March 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Ibarguen (Ibarguen), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ibarguen 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 March 18, 2020.

Plaintiff alleges the advisor made misrepresentations in recommending withdrawing funds from his inherited IRA in the amount of $76,473.86.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seongsoo Lee (Lee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $39,794.85  on March 24, 2020.

The client alleged his advisor executed unauthorized mutual fund sell transactions in March 2020.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design