Ameriprise Financial Services

Broker William Devine in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Devine (Devine), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Devine 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 $860,000.00 on October 30, 2024.

Claimant alleges that she was wrongfully recommended she withdraw large sums of money from her inherited IRA account to fund the purchase and construction costs of a home, resulting in substantial unplanned capital gains taxes.

Broker Mitchell Rock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mitchell Rock (Rock) 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 Rock was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Rock’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 October 31, 2024.

Claimant alleges that Respondent Rock participated in a private securities transaction without providing written notice to his firm about his role in the sale of shares of Facebank to Claimant on behalf of John Textor, the issuer.

Broker Carol Hager in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

Broker Mark Brosa in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 19, 2024.

Respondent Brosa failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Stephan Edwards in Firm Ameriprise Financial Services, LLC

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephan Edwards (Edwards), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Edwards 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 December 23, 2024.

The client alleged that he never authorized the wholesale re-alignment of his portfolio from Strategic Portfolio Service (SPS) Advantage to an Active Portfolio (AP) in early 2024.

Broker William Young in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Young 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 $101,400.00 on January 02, 2025.

Clients claim Willian Young failed to conduct a reasonable due diligence on the GWG investment, the GWG investment was misrepresented to the clients, and the GWG investment was unsuitable for the clients in view of their financial situations and needs, investment objectives and risk tolerance for their account

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

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Felsenfeld (Felsenfeld), currently associated with Ameriprise Financial Services, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Felsenfeld 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 $101,400.00 on January 02, 2025.

Clients claim Willian Young failed to conduct a reasonable due diligence on the GWG investment, the GWG investment was misrepresented to the clients, and the GWG investment was unsuitable for the clients in view of their financial situations and needs, investment objectives and risk tolerance for their account

There are Recent Customer Complaints with Broker Michael Lehman in Firm Ameriprise Financial Services, LLC

February 15, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Gwendolyn Hayes in Firm Ameriprise Financial Services, LLC

February 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 17, 2025.

Without admitting or denying the findings, Hayes consented to the sanction and to the entry of findings that she refused to produce information requested by FINRA in connection with its examination into whether she changed customers’ investment objectives without their consent, mismarked transactions as unsolicited, and accepted trading instructions from unauthorized individuals.

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

February 13, 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 4 disclosable events. These events include 4 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 $150,000.00 on January 28, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.