Ameriprise Financial Services

There are Recent Customer Complaints with Broker Bruce Westphal in Firm Ameriprise Financial Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Westphal (Westphal), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westphal 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 $10,832.74 on September 12, 2024.

The client alleged that the advisor informed her that she would continue her 5% increase to the benefit base of her RiverSource Roth IRA annuity, as long as she did not access funds from the annuity during a 2022 meeting.

Broker Mark Barrand in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Barrand (Barrand), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrand 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 $40,000.00 on May 17, 2023.

Claimants allege that the registered representative recommended unsuitable investments that resulted in losses.

There are Recent Customer Complaints with Broker Jeffrey Johnson in Firm Ameriprise Financial Services, LLC

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Johnson (Johnson), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $41,413.47 on May 24, 2023.

The clients allege their Dollar Cost Averaging (DCA) arrangement inactivated in 2016 in error, resulting in their Indexed Universal Life (IUL) policies being underfunded as their cash value remained in the fixed account. In addition, one client alleged that there was also a missed premium payment of $42,000 in August of 2016.

Broker Mark Sonntag in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Sonntag (Sonntag), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sonntag 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 $50,000.00 on May 23, 2023.

Claimants allege Representative improperly recommended a high-risk investment in GWG L Bonds.

Broker Jason Turner in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2023.

BREACH OF FIDUCIARY DUTY, SUITABILITY, FRAUD, NEGLIGENT MISREPRESENTATION, FAILURE TO SUPERVISE, VIOLATION OF INDUSTRY RULES, BREACH OF CONTRACT.

Broker Michael Fisher in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2023.

Time frame: March 2010 – September 2012 Allegations: Claimants allege that financial advisor engaged in unsuitable and unauthorized trading which resulted in principal losses.

Broker Eliah Ewing in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eliah Ewing (Ewing), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ewing 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 12, 2023.

Claimant alleges that she was recommended to invest her retirement savings in unsuitable, illiquid and speculative investments including FSIC (FS Investment Corporation) on 12/16/11, FSEP (FS Energy & Power Fund) in 2014, and a RVS Life variable annuity on 12/14/18.

There are Recent Customer Complaints with Broker Samad Kalig in Firm Ameriprise Financial Services, INC.

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samad Kalig (Kalig), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kalig 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 12, 2023.

Claimant alleges that she was recommended to invest her retirement savings in unsuitable, illiquid and speculative investments including FSIC (FS Investment Corporation) on 12/16/11, FSEP (FS Energy & Power Fund) in 2014, and a RVS Life variable annuity on 12/14/18.

There are Recent Customer Complaints with Broker Boris Niko in Firm Ameriprise Financial Services, LLC

August 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2023.

Claimant alleges in 2020, her Financial Advisor (FA) continually made unsuitable investments which were high risk and did not meet Claimant’s investment needs.

Broker Ajay Verma in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Verma (Verma), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Verma 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 $125,000.00 on June 27, 2023.

Claimant alleges that in about November 2020, she was improperly recommended she exchange her RVS Life RAVA 4 Advantage Variable Annuity for a RVS Life RAVA 5 Advantage Variable Annuity.