Ameriprise Financial Services

Broker James Callaway in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Callaway (Callaway), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaway 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 $59,000.00 on April 29, 2020.

The client alleged the advisor provided incorrect information about mutual fund sales amounts.

Broker Robert Schinsky in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schinsky (Schinsky), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schinsky 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 $280,000.00 on May 11, 2020.

The client alleged the advisor placed unauthorized trades in two of his qualified managed accounts on March 12, 2020.

There are Recent Customer Complaints with Broker Jatana Norris in Firm Ameriprise Financial Services, INC.

May 7, 2026 | by Staff Attorney

Previously financial advisor Jatana Norris (Norris), previously employed by brokerage firm Ameriprise Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Claimants allege respondents recommended variable annuities, non-traded REITs and non-traded BDC’s and the investments were unsuitable for them. Claimants also allege that Ameriprise failed to supervise the Claimants’ advisors. Claimants’ causes of action are breach of fiduciary duty and negligence.

Broker Malcolm Norris in Ameriprise Financial Services, INC. Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

Previously financial advisor Malcolm Norris (Norris), previously employed by brokerage firm Ameriprise Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Claimants allege respondents recommended variable annuities, non-traded REITs and non-traded BDC’s and the investments were unsuitable for them. Claimants also allege that Ameriprise failed to supervise the Claimants’ advisors. Claimants’ causes of action are breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Craig Guinta in Firm Ameriprise Financial Services, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Guinta (Guinta), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinta 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 $49,999.99 on June 01, 2020.

Client through attorney, alleges breach of fiduciary duty, misrepresentation and unsuitable investment recommendations by RR from August 2012 through October 2016.

There are Recent Customer Complaints with Broker Barry Abrams in Firm Ameriprise Financial Services, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Abrams (Abrams), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 June 01, 2020.

Claimant alleges respondent recommended unsuitable investments in FS Energy and Power and Corporate Capital Trust for his children’s college savings. His causes of action are negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, and violations of FINRA’s conduct rules.

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

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Cueter (Cueter), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cueter 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 $6,921.00 on June 17, 2020.

Client alleges that she overpaid for her mutual fund investments by purchasing and holding Class C shares, from various purchase dates starting in October 2011, versus lower cost share alternatives.

There are Recent Customer Complaints with Broker Robert Nagy in Firm Ameriprise Financial Services, LLC

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Nagy (Nagy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagy 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 $15,153.91 on June 23, 2020.

Client alleges that the Municipal Securities mutual fund that he purchased was not suitable for him based on his risk tolerance. Purchase date August 2019; resolution date July 2020.

There are Recent Customer Complaints with Broker Peter Frederich in Firm Ameriprise Financial Services, LLC

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Frederich (Frederich), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frederich 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 $179,000.00 on June 30, 2020.

The clients’ attorney alleged the advisor implemented a managed account portfolio without the clients’ authorization.

There are Recent Customer Complaints with Broker David Turetzky in Firm Ameriprise Financial Services, LLC

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Turetzky (Turetzky), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Turetzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 02, 2020.

Claimants allege, failure to supervise with respect to Financial Advisor’s management of accounts – July 2014 to December 2016