Ameriprise Financial Services

There are Recent Customer Complaints with Broker Peter Butler in Firm Ameriprise Financial Services, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Butler (Butler), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $65,000.00 on December 23, 2020.

Claimant alleges that in August 2013, Respondent recommended unsuitable investmenets in KBS REIT and Watermark Lodging REIT and seeks $65,000 in damages.

There are Recent Customer Complaints with Broker Alan Thomilson in Firm Ameriprise Financial Services, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Thomilson (Thomilson), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thomilson 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 December 28, 2020.

Claimants allege, during the time period November 2017-August 2018, their former Ameriprise advisor recommended they liquidate their positions in 3 variable annuities, which caused them to incur surrender charges, in order to invest in a fixed-indexed annuity.

Broker Jill Murphy in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Murphy (Murphy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $5,185.00 on March 02, 2026.

The client alleged that the advisor made a poor recommendation to complete a Roth Conversion in 2025 because it rose their taxable income over the Affordable Care Act Benefit threshold.

There are Recent Customer Complaints with Broker Gary Schaap in Firm Ameriprise Financial Services, LLC

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Schaap (Schaap), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schaap 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 $1,378,624.00 on March 24, 2026.

The client alleged that recommendations made in 2015 & 2016 were unsuitable for a retiring client who requested conservative low risk investments.

Broker Brian Peers in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Peers (Peers), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peers 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 $3,166,966.00 on March 24, 2026.

Claimants allege that they instructed their advisor to purchase $100,000 each in NVIDIA, Apple, and Broadcom on 3/24/2020, but he failed to execute the trades.

Broker John West in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John West (West), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 $96,678.83 on March 26, 2026.

The client and policy owner alleged that her advisor failed to pay the initial premium on her Mutual of Omaha Long-Term Care (LTC) policy by the September 7, 2020, due date, as instructed by the client, letting the policy lapse in October of 2020.

Broker Eric Felsenfeld in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

Currently financial advisor Eric Felsenfeld (Felsenfeld), currently employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on March 30, 2026.

Claimant seeks $200,000\\u2013$300,000 relating to two separate matters: (1) a $58,000 GWG L Bond purchase that was rendered worthless by GWG’s subsequent bankruptcy; and (2) a leveraged private placement strategy that performed poorly following distribution suspensions and increased borrowing costs. Notably, the claimant was able to redeem one of the three private placements (Braemar), and the Spring Hills position, while currently suspended, has not been written off. The claim is filed by Iorio Law, a plaintiffs’ firm, and relies heavily on hindsight.

There are Recent Customer Complaints with Broker Roderick Gosa in Firm Ameriprise Financial Services, LLC

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Gosa (Gosa), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gosa 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 $18,000.00 on March 31, 2026.

The client alleged that the advisor opened an Ameriprise ONE margin account without their knowledge in May of 1999.

There are Recent Customer Complaints with Broker Shirley Washam in Firm Ameriprise Financial Services, LLC

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Washam (Washam), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Washam 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 $71,375.65 on April 20, 2020.

Client alleges unauthorized sale of an annuity. Allegation Activity Dates: 3/21/2019 – 4/20/2020.

There are Recent Customer Complaints with Broker Gregory Aest in Firm Ameriprise Financial Services, INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Aest (Aest), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Aest 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 April 29, 2020.

Unsuitable recommendations, failure to supervise and failure to conduct proper due diligence.