Ameriprise Financial Services

There are Recent Customer Complaints with Broker Kari Larocco in Firm Ameriprise Financial Services, LLC

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kari Larocco (Larocco), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larocco 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 $9,700.00 on October 03, 2023.

The client alleged that her advisor failed to liquidate all of her accounts, upon request, on or near to August 31, 2023. One managed account was not liquidated until September 28, 2023.

There are Recent Customer Complaints with Broker John Ledford in Firm Ameriprise Financial Services, LLC

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ledford (Ledford), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ledford 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 $500,000.00 on October 19, 2023.

Monetary damages related to certain alleged actions or inactions related to the purchase of speculative debt instruments.

Broker Daniel Wilson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Wilson (Wilson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $20,000.00 on October 30, 2023.

Claimant alleges unsuitable investments and misrepresentations made by the advisor in 2022.

Broker Elicia Fultz in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elicia Fultz (Fultz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fultz 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 $48,263.00 on November 17, 2023.

The client alleges there were unauthorized withdrawals from his IRA account which were clearly against his instructions. The client further alleges the withdrawals had no benefit and he incurred substantial tax liability. Time Frame: April 1, 2021 to April 7, 2021

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

June 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

Broker Ryan Callahan in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Callahan (Callahan), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callahan 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 $22,419.00 on July 15, 2024.

Client alleged that her advisors failed to reallocate the funds in her Variable Universal Life policy (VUL) as she instructed in August 2023, December 2023 and again in January 2024, resulting in missed gains.

There are Recent Customer Complaints with Broker Joshua Chabot in Firm Ameriprise Financial Services, LLC

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chabot (Chabot), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chabot 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 $22,419.00 on July 15, 2024.

Client alleged that her advisors failed to reallocate the funds in her Variable Universal Life policy (VUL) as she instructed in August 2023, December 2023 and again in January 2024, resulting in missed gains.

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

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monckton (Monckton), currently associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Monckton 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 $17,500.00 on October 28, 2020.

Claimants allege investments sold to them beginning in 2013 were unsuitable and too risky based on their desire to avoid long term, illiquid investments.

Broker Chad Nyitray in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimants allege REIT purchased was unsuitable.

There are Recent Customer Complaints with Broker Paul Nowak in Firm Ameriprise Financial Services, LLC

June 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Nowak (Nowak), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $300,000.00 on December 19, 2023.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.