Articles Tagged with Ameriprise Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kubiak (Kubiak), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kubiak 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 $6,075,978.00 on March 28, 2025.

Claimant alleges she was recommended unsuitable annuities, insurance products and Illiquid real estate investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kubiak (Kubiak), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kubiak 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 $6,075,978.00 on March 28, 2025.

Claimant alleges she was recommended unsuitable annuities, insurance products and Illiquid real estate investments.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $550,000.00 on April 04, 2025.

Customer alleges they suffered losses as a result of unsuitable investment recommendations relating to a variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Brandt (Brandt), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandt 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 $7,000.00 on April 08, 2025.

Client frustrated that the market keeps dropping and their advisor keeps recommending that they hold their investments and not sell to avoid taxable gains.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Berenguer (Berenguer), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berenguer 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 $5,750.11 on April 04, 2025.

The client alleged that the advisor failed to follow their instructions to liquidate their qualified Active Portfolio account on March 21, 2025.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Stamatis (Stamatis), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Stamatis’s most recent customer complaint alleges that Stamatis recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $80,000.00 on April 17, 2024.

Claimants allege advisor recommended unsuitable investments of variable annuities and structured notes.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Blake (Blake), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $25,000.00 on April 16, 2024.

Customer alleged the representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Murray Petersen (Petersen), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Petersen 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 $99,999.00 on April 15, 2024.

Claimant alleges fraud and breach of duty related to the sale of diamonds representative sold to claimant via an outside business activity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Bortz (Bortz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bortz 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 $6,789.00 on April 18, 2024.

The client alleged the advisor provided them with the incorrect taxable income they would receive as beneficiaries of a Jackson National annuity in September 2023, leading them to take a lump sum, as opposed to other available options, causing them unintended tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yvette Stewart (Stewart), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $21,600.00 on April 22, 2024.

The client alleged the advisor misrepresented add on payment credit provisions for a variable annuity.

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