Articles Tagged with Ameriprise Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Huey (Huey), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huey 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 $99,000.00 on December 09, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Courtwright (Courtwright), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Courtwright 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 $197,292.82 on December 19, 2025.

The client alleged that the investment strategy recommended by the advisor between 2020 and 2025 constituted poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Desanctis (Desanctis), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Desanctis 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 $16,549.14 on December 19, 2025.

The client alleged that the rider fees for his RiverSource variable annuities were misrepresented over the last 10 years and unsuitable for a senior investor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Curran (Curran), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $213,614.15 on December 24, 2025.

The clients alleged the advisor incorrectly sold positions in their NQ Ameriprise Select Separate accounts, as opposed to processing an in-kind transfer as requested, causing significant capital gains in March 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gill (Gill), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $11,709.00 on July 12, 2021.

The client alleged her advisor(s) recommended she purchase and remain invested in an unsuitable real estate investment trust (REIT) from 2007 to the present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert 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 on July 15, 2021.

The client alleges the RR did not explain the contract fees for a variable annuity sold in 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Chambers (Chambers), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chambers 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 $15,000.00 on July 23, 2021.

Claimant alleges that, in 2012, she was recommended and invested $25,000 in an unsuitable REIT, Cary Watermark Investors, Inc. n/k/a Watermark Lodging Trust.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cedric Powell (Powell), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Powell 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 July 28, 2021.

Customers are alleging representative misappropriated funds from their mutual fund account to pay premiums on policies the customers were not aware existed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bruggemann (Bruggemann), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruggemann 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 $180,000.00 on August 05, 2021.

Claimants allege the representative recommended investments that were unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2021.

The client alleged equity security sell trades in December 2020 were executed without her authorization.

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