Ameriprise Financial Services

There are Recent Customer Complaints with Broker Patrick Bortz in Firm Ameriprise Financial Services, LLC

May 9, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Yvette Stewart in Firm Ameriprise Financial Services, LLC

May 9, 2025 | by Staff Attorney

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.

Broker Lawrence Teichman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Teichman (Teichman), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Teichman 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 $110,000.00 on April 19, 2024.

Customers allege that during the time period 2017-2021, representative’s recommendations to purchase and hold a REIT were unsuitable.

There are Recent Customer Complaints with Broker Richard Carman in Firm Ameriprise Financial Services, LLC

May 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Connor Day in Firm Ameriprise Financial Services, LLC

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Day (Day), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Day 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 $20,345.35 on May 17, 2024.

The client alleged 3 stocks were traded in January 2024 that deviated from the agreed upon plan that was made between the advisor and client.

There are Recent Customer Complaints with Broker Eric Dupre in Firm Ameriprise Financial Services, LLC

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Dupre (Dupre), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dupre 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 $3,011,476.00 on May 23, 2024.

Claimants allege that former advisor Dupre recommend that they invest in a ‘cryptocurrency opportunity’. However, it appears that Dupre did not invest the Claimants’ funds, but instead misappropriated the funds. Claimants allege that Dupre stole more than $2.6 million dollars from them.

There are Recent Customer Complaints with Broker Cynthia Magner in Firm Ameriprise Financial Services, LLC

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Magner (Magner), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Magner 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 June 05, 2024.

Claimant alleges advisor recommended unsuitable investment of a variable annuity.

There are Recent Customer Complaints with Broker Sheree Ziemba in Firm Ameriprise Financial Services, LLC

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheree Ziemba (Ziemba), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ziemba 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 $15,143.81 on June 21, 2024.

The client alleged that the advisor did not update the beneficiaries on the RiverSource RAVA 5 Select variable annuity per the client’s instructions.

Broker Marcial Vargas in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 04, 2024.

Claimant alleges that from 2018 through 2022, FA breached his fiduciary duty by recommending unsuitable investments and misrepresenting the nature of those investments.

Broker Scott Taubman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 19, 2024.

Without admitting or denying the findings, Taubman consented to the sanction and to the entry of findings that he borrowed $62,500 from two senior customers, without prior notice to or written approval from his member firm. The findings stated that the terms of the loans were not documented. The customers were not immediate family members or a financial institution. Taubman firm learned of the loans and conducted an investigation, during which Taubman confirmed that he had received, in total, approximately $100,000 from the customers. Taubman did not repay the loans. When Taubman filed a Chapter 7 bankruptcy petition, he disclosed the debt as a personal loan, and he obtained a discharge of his indebtedness. The findings also stated that Taubman falsely attested in his annual compliance questionnaires that he was in compliance with his firm’s policies and procedures.