Ameriprise Financial Services

There are Recent Customer Complaints with Broker James Lombardo in Firm Ameriprise Financial Services, LLC

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

Guardian for client alleges advisor did not follow instructions related to client’s estate plan.

Broker Paul Barker in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.

Broker Benjamin Silberman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Silberman (Silberman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Silberman 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 $60,000.00 on June 25, 2025.

Claimant alleges that she sustained losses because Respondent “twisted” annuity products without sufficient explanation.

There are Recent Customer Complaints with Broker Adam Srmek in Firm Ameriprise Financial Services, LLC

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Srmek (Srmek), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Srmek 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 $32,000.00 on June 27, 2025.

Client alleged that his former advisors liquidated assets in 2024, without the client’s authorization, for the purpose of purchasing an annuity. In addition, the client alleged that the tax ramifications of the liquidating trades in question generated $153,315.13 in capital gains ($104,126.91 long-term and $49,188.22 short-term) which were not disclosed.

There are Recent Customer Complaints with Broker Christopher Jacobi in Firm Ameriprise Financial Services, LLC

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), previously 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 $150,000.00 on July 07, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

There are Recent Customer Complaints with Broker Kyle Geblein in Firm Ameriprise Financial Services, LLC

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Geblein (Geblein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geblein 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 $16,641.92 on April 15, 2025.

The client alleged that the advisor traded in his Qualified Strategic Portfolio Service Advisory account on January 6, 2025, prior to receiving his approval of the elected asset allocation model.

Broker James Lombardo in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

Guardian for client alleges advisor did not follow instructions related to client’s estate plan.

Broker Paul Barker in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.

There are Recent Customer Complaints with Broker Sam Su in Firm Ameriprise Financial Services, LLC

July 28, 2025 | by Staff Attorney

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

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

Claimant alleges, inter alia, that the investment strategy executed in the client’s account was unsuitable – September 2023 to Dec 2024

There are Recent Customer Complaints with Broker Todd Osgood in Firm Ameriprise Financial Services, LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Osgood (Osgood), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osgood 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 $22,000.00 on May 02, 2025.

The client alleged that $150,000 of a First Trust UIT was purchased in March 2025 without his authorization or prior consent. The client also alleged that the UIT was not suitable.