Articles Tagged with Ameriprise Financial Services

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Deangelis (Deangelis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deangelis 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 $161,000.00 on January 27, 2023.

Claimant alleges his advisor recommended unsuitable investments including exchange traded funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Li (Li), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li 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 $694,674.63 on July 15, 2025.

Claimants allege that, in March 2011, Respondents recommend Claimants replace their Hartford annuities with two Genworth Life annuities. Claimants also claim that in late 2022, Respondents recommended that they replace their Genworth annuities with MassMutual annuity products for the purported purpose of earning a higher interest rate. Claimants further allege that this exchange required Claimants to relinquish the Long-Term Care rider provision of the Genworth annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Anderson (Anderson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $17,247.08 on August 01, 2025.

The clients alleged that the recommendation to purchase their non-qualified RiverSource Variable Universal Life Insurance policies was unsuitable in June 2023 based on the client’s goals and needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gant (Gant), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gant 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 $5,112.00 on August 08, 2025.

The client alleged the advisor did not follow instructions with agreed-upon actions in the client’s SEP IRA account in December 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Boutis (Boutis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boutis 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 $250,000.00 on August 27, 2025.

Claimants allege they were recommended unsuitable investments in an annuity and a mutual fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nardella (Nardella), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nardella 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 $677,817.54 on September 05, 2025.

The client alleged the advisor sold stocks, including Meta, Microsoft, and Nvidia, without authorization between 2022 and 2023.

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