Ameriprise Financial Services

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

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2022.

Plaintiffs allege that defendants allowed [REDACTED] variable universal life insurance policy to lapse in June 2021.

Broker Jennifer Marcontell in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Marcontell (Marcontell), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marcontell 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 $250,000.00 on July 06, 2022.

The client alleges the financial advisor recommended a Net Unrealized Appreciation (NUA) strategy which was not properly executed and resulted in a higher than anticipated tax liability.

Broker Augustine Choi in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Augustine Choi (Choi), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Choi 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 $26,252.86 on August 15, 2022.

The client alleged her variable annuity was improperly purchased September, 2021.

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

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 17, 2022.

Without admitting or denying the findings, Dunn consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Dunn’s member firm disclosing that he had voluntarily resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.

There are Recent Customer Complaints with Broker Anne Martin Gash in Firm Ameriprise Financial Services, INC.

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Martin Gash (Martin Gash), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin Gash 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 $180,000.00 on August 18, 2022.

The client alleged the advisor misled them on the sale of a variable annuity in July 2013.

Broker Weina Hou in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Weina Hou (Hou), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hou 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 $700,000.00 on September 12, 2025.

Claimants allege unsuitable investment recommendations.

Broker Steven Brundage in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Brundage (Brundage), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brundage 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 $1,212,685.00 on September 17, 2025.

Claimants allege that from January 2017 through September 2023 they suffered substantial losses due to Respondents’ strategy including concentrating Claimants’ accounts in mutual funds, market-timing, and purchasing two proprietary variable annuities.

There are Recent Customer Complaints with Broker Vincent Ferrara in Firm Ameriprise Financial Services, LLC

October 30, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Vincent Ferrara (Ferrara) 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 Ferrara was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Ferrara’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 September 19, 2025.

Client alleges misappropriation of funds.

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

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Coppola (Coppola), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coppola 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 $627,500.00 on September 25, 2025.

Claimant alleges Respondents did not place market orders for an IPO on behalf of Claimant.

There are Recent Customer Complaints with Broker Lance Hubeny in Firm Ameriprise Financial Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Plaintiffs allege that Defendants Ameriprise and Hubeny should have kept them informed of any attempted changed to Ms. Miesemer's annuity account and permitted beneficiary changes despite alleged knowledge of competency and undue influence issues.