Articles Tagged with Ameriprise Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 17, 2022.

Without admitting or denying the findings, Dunn consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Dunn’s member firm disclosing that he had voluntarily resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Martin Gash (Martin Gash), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin Gash 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 $180,000.00 on August 18, 2022.

The client alleged the advisor misled them on the sale of a variable annuity in July 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Weina Hou (Hou), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hou 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 $700,000.00 on September 12, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Brundage (Brundage), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brundage 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 $1,212,685.00 on September 17, 2025.

Claimants allege that from January 2017 through September 2023 they suffered substantial losses due to Respondents’ strategy including concentrating Claimants’ accounts in mutual funds, market-timing, and purchasing two proprietary variable annuities.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Vincent Ferrara (Ferrara) 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 Ferrara was employed by Ameriprise Financial Services, LLC at the time of the activity.  If you have been a victim of Ferrara’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 September 19, 2025.

Client alleges misappropriation of funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Coppola (Coppola), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coppola 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 $627,500.00 on September 25, 2025.

Claimant alleges Respondents did not place market orders for an IPO on behalf of Claimant.

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Plaintiffs allege that Defendants Ameriprise and Hubeny should have kept them informed of any attempted changed to Ms. Miesemer's annuity account and permitted beneficiary changes despite alleged knowledge of competency and undue influence issues.

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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 one disclosable event. These events include one customer complaint, 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 $15,000.00 on September 04, 2025.

The client alleged that in the fall of 2024, the advisor misrepresented the penalty free period for liquidating his alternative investments in Megatel Capital Investment and Spring Hills.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thad Bisselle (Bisselle), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bisselle 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 $35,000.00 on December 21, 2022.

CLAIMANT ALLEGES SHE WAS RECOMMENDED UNSUITABLE INVESTMENTS INToGWG L BONDS IN 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Imel (Imel), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Imel 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 $35,000.00 on January 09, 2023.

Unsuitable recommendations of alternative investments

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