Ameriprise Financial Services

Broker Timothy Van dyken in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 08, 2024.

S-24-3751-24-CO01 – Timothy Van Dyken Consent Order On October 8, 2024, the Securities Division entered a Consent Order with Respondent Timothy Van Dyken (Van Dyken). The Securities Division alleged that Van Dyken, an investment adviser representative and registered representative, engaged in dishonest and unethical practices and violated RCW 21.20.020(c) and WAC 460-24A-200(r). As part of the Consent Order, the Respondent neither admitted nor denied the Securities Division’s findings of fact and conclusions of law but agreed to cease and desist from violations of the Securities Act of Washington and to waive his right to a hearing and judicial review of this matter.

Broker Shana Hudson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 09, 2024.

The client verbally alleged that a variable annuity income guarantee recommended by the advisor in August 2023 was misrepresented.

There are Recent Customer Complaints with Broker Tracey Smith in Firm Ameriprise Financial Services, LLC

March 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracey Smith (Smith), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $73,569.87 on October 16, 2024.

The executor of the deceased client’s estate alleged that the advisor misrepresented the death benefit on the client’s NQ RiverSource RAVA 5 Advantage variable annuity.

There are Recent Customer Complaints with Broker Eric Han in Firm Ameriprise Financial Services, LLC

March 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Han (Han), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Han 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 $10,000.00 on October 22, 2024.

Claimant alleges the advisor provided tax advice in the context of a financial planning relationship causing a tax consequence.

There are Recent Customer Complaints with Broker Walter Schram in Firm Ameriprise Financial Services, LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Schram (Schram), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schram 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 $300,000.00 on January 15, 2025.

Time frame: May 2012 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

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

March 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gnivecki (Gnivecki), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gnivecki 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 $100,000.00 on January 23, 2025.

The executor of the estate of a client alleges respondent recommended an unsuitable annuity in September 2023.

Broker Christopher Jacobi in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), currently associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, 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 $100,000.00 on January 29, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

There are Recent Customer Complaints with Broker Joel Marks in Firm Ameriprise Financial Services, LLC

March 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Marks (Marks), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marks 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 $10,000.00 on February 04, 2025.

Customer stated she had met with the advisor to establish two 529 accounts for $20,000.00 each. Following review, it was discovered the accounts were never established or funded. As a gesture of goodwill and customer service, CBSI is offering the customer a daily compounded interest payment of 7% going back to what should have been the inception of the accounts (July 6, 2021) and a current date of February 19, 2025. The resulting interest payment is $11,710.00.

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

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Janny (Janny), currently associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Janny 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 October 23, 2024.

During the period July 2022-October 2023, claimants allege respondent recommended unsuitable investments including stocks in speculative precious metals and the energy sector.

Broker Jared Hoffman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Hoffman (Hoffman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $5,000.00 on October 28, 2024.

The client alleged the advisor failed to act upon her requests to complete Roth conversions multiple times between December 2023 and July 2024.