Ameriprise Financial Services

Broker Thomas Fons in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Fons (Fons), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fons 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 $1,000,000.00 on August 14, 2020.

Claimants allege misrepresentation regarding a variable annuity from 2003 to 2017.

Broker Denis Drummey in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2020.

Customer complains about illiquidity of business development company, alleges that representative’s recommendation of business development company was unsuitable, and that his net worth was incorrectly stated on the account paperwork. Alleged activity dates are 7/24/14 – 7/24/14

Broker Dean Kernus in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Kernus (Kernus), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kernus 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 $23,804.00 on April 13, 2020.

Client alleges that an investment (Catalyst/Warrington Strategic Program Fund) was not in the client’s best interest due to its risk and costs.

Broker Kenneth Ashe in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Ashe (Ashe), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ashe 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 $798,000.00 on April 12, 2020.

The client alleged his advisor misrepresented a variable universal life insurance policy in the Summer 2015 regarding the death benefit payout to be received when the insured reached age 100.

Broker Orin Green in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orin Green (Green), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Green 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 $23,804.00 on April 13, 2020.

Client alleges that an investment (Catalyst/Warrington Strategic Program Fund ) was not in the client’s best interest due to its risk and costs.

There are Recent Customer Complaints with Broker Alexis Lynch in Firm Ameriprise Financial Services, LLC

June 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Between June 3rd, 2024 and April 16th, 2026 the client alleges that the Financial Advisor and the Senior Wealth Strategy Associate sent out wire transfers that were illegal and without his knowledge and authorization to his ex-wife.

Broker John Wilson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2026.

Claimant alleges that from 2012 through current date, FA invested in unsuitable annuities.\,

There are Recent Customer Complaints with Broker Joyce Bloch in Firm Ameriprise Financial Services, LLC

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2025.

Claimant alleges representative recommended unsuitable investment of a fixed annuity.

Broker Nathan Odegard in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Odegard (Odegard), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Odegard 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 $7,500.00 on May 06, 2026.

Claimant alleges that improper fee deductions for financial planning were made out of his Roth IRA account from 2020 \\u2013 2022. He claims that Respondent failed to explain the impact of these deductions and used a fee strategy inconsistent with preserving Roth IRA assets.

There are Recent Customer Complaints with Broker Douglas Messina in Firm Ameriprise Financial Services, LLC

June 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Messina (Messina), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Messina 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 $79,000.00 on May 19, 2026.

The client alleged that the advisor’s recommendation to sell shares of Apple Inc (AAPL) within her nonqualified basic brokerage account between January 2025 and April 2025 constituted poor advice.