Ameriprise Financial Services

Broker David Topper in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Topper (Topper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Topper 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 $77,941.00 on December 07, 2020.

Clients allege they did not understand the nature of the fixed indexed annuities they bought and failure to follow investment instructions in April 2020.

Broker Lawrence Margolin in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Margolin (Margolin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Margolin 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 December 07, 2020.

Claimant asserts claims for fraud, breach of fiduciary duty, negligence, gross negligence and breach of contract in connection with allegedly unsuitable investments in annuities and ETFs. From 4/1/2014 to 9/30/2020.

There are Recent Customer Complaints with Broker Jay Slade in Firm Ameriprise Financial Services, LLC

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Slade (Slade), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Slade 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 $200,000.00 on December 31, 2020.

Client alleges negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract and breach of fiduciary duty.

Broker Thomas Sundberg in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sundberg (Sundberg), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sundberg 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 $23,000.00 on December 29, 2020.

Claimant alleges that he was recommended an unsuitable, high-commission, high-risk, and speculative alternative investment, FSKR.

Broker Vincent Petrangelo in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege Branch Manager failed to adequately supervise Claimants’ FAs. Alleged Activity dates: 2/13/2009 to present.

There are Recent Customer Complaints with Broker Ralph Baker in Firm Ameriprise Financial Services, INC.

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Baker (Baker), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $111,000.00 on January 05, 2021.

Claimant alleges that he was recommended unsuitable, high-commission, high-risk, and speculative alternative investments, FSKR and CNL Healthcare Properties.

Broker Nathan Foret in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Foret (Foret), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foret 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 $75,000.00 on January 25, 2021.

Claimants allege that their advisor recommended that they utilize margin in their accounts that was not suitable for them and caused an increase in the management fees that they paid on their accounts. Claimants also allege their advisor recommended an unsuitable security in an account and overconcentrated a position a separate account.

There are Recent Customer Complaints with Broker Thomas Chandler in Firm Ameriprise Financial Services, LLC

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Chandler (Chandler), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler 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 $50,000.00 on April 07, 2025.

Claimants allege a tax consequence related to transactions in their trust account.

Broker Richard Kersting in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kersting (Kersting), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kersting 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 February 02, 2026.

Claimants allege that Respondents recommended an aggressive investment strategy incompatible with their investment profile.

Broker Drew Peacock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Peacock 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 February 23, 2026.

Claimant alleges that respondents made inappropriate investment strategy recommendations that were wildly speculative and unsuitable, particularly the recommendation of low interest corporate bonds (Activision bonds) with extremely long maturities and that offered relatively low coupon payments.