Articles Tagged with Ameriprise Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Han (Han), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Han 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 $10,000.00 on October 22, 2024.

Claimant alleges the advisor provided tax advice in the context of a financial planning relationship causing a tax consequence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Schram (Schram), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schram 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 January 15, 2025.

Time frame: May 2012 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gnivecki (Gnivecki), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gnivecki 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 $100,000.00 on January 23, 2025.

The executor of the estate of a client alleges respondent recommended an unsuitable annuity in September 2023.

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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 5 disclosable events. These events include 5 customer complaints, 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 $100,000.00 on January 29, 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 Joel Marks (Marks), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marks 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 $10,000.00 on February 04, 2025.

Customer stated she had met with the advisor to establish two 529 accounts for $20,000.00 each. Following review, it was discovered the accounts were never established or funded. As a gesture of goodwill and customer service, CBSI is offering the customer a daily compounded interest payment of 7% going back to what should have been the inception of the accounts (July 6, 2021) and a current date of February 19, 2025. The resulting interest payment is $11,710.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Janny (Janny), currently associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Janny 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 $500,000.00 on October 23, 2024.

During the period July 2022-October 2023, claimants allege respondent recommended unsuitable investments including stocks in speculative precious metals and the energy sector.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Hoffman (Hoffman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $5,000.00 on October 28, 2024.

The client alleged the advisor failed to act upon her requests to complete Roth conversions multiple times between December 2023 and July 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Devine (Devine), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Devine 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 $860,000.00 on October 30, 2024.

Claimant alleges that she was wrongfully recommended she withdraw large sums of money from her inherited IRA account to fund the purchase and construction costs of a home, resulting in substantial unplanned capital gains taxes.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mitchell Rock (Rock) 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 Rock was employed by Ameriprise Financial Services, LLC at the time of the activity.  If you have been a victim of Rock’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 $2,000,000.00 on October 31, 2024.

Claimant alleges that Respondent Rock participated in a private securities transaction without providing written notice to his firm about his role in the sale of shares of Facebank to Claimant on behalf of John Textor, the issuer.

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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