Ameriprise Financial Services

Broker Donald Heaney in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Heaney (Heaney), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heaney 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 $7,000.00 on July 25, 2024.

The client alleged his advisor placed trades without his authorization in October of 2022.

Broker Francisco Cabral in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Francisco Cabral (Cabral) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cabral was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Cabral’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $450,000.00 on August 27, 2024.

Unsuitability, misrepresentation/omission in connection with Energy 12 and Mutual Funds and forgery in connection with Energy 12. The allegations do include misappropriation, forgery, theft or conversion of funds or securities.

There are Recent Customer Complaints with Broker Chad Noble in Firm Ameriprise Financial Services, LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Noble (Noble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noble 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 $90,000.00 on February 07, 2025.

Claimant alleges overconcentration and unsuitable investment in alternative investments.

Broker Christopher Jacobi in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobi 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 $30,000.00 on February 14, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

There are Recent Customer Complaints with Broker Lanting Wei in Firm Ameriprise Financial Services, LLC

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanting Wei (Wei), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wei 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 $300,000.00 on February 28, 2025.

Claimants allege unsuitable investment recommendations.

Broker Yi Hao in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Hao (Hao), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hao 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 $20,710.93 on March 11, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regarding fees and using misleading acts during sale. This matter is being reported consistent with FINRA rules pertaining to the reporting of certain written customer complaints. The company by this filing makes no allegations regarding the actions of the representative.

There are Recent Customer Complaints with Broker David Lam in Firm Ameriprise Financial Services, LLC

April 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2025.

Client alleges that his instructions to sell $200000 worth of his shares of tesla were not followed January 2025.

Broker Joe Gentry in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joe Gentry (Gentry), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gentry 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 $17,896.67 on March 24, 2025.

The client alleged the advisor misrepresented the provisions of a November 2023 variable life insurance replacement.

Broker Ted Boutis in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Boutis (Boutis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boutis 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 $1,000,000.00 on March 20, 2025.

The client alleged that beginning in 1999 the advisor misrepresented variable annuities and recommended an unsuitable life insurance policy. Client alleged further poor portfolio performance.

There are Recent Customer Complaints with Broker John Engler in Firm Ameriprise Financial Services, LLC

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Engler (Engler), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Engler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 20, 2025.

Respondent Engler failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.