Ameriprise Financial Services

Broker Samuel Head in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Head (Head), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Head 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 $315,000.00 on September 09, 2020.

Customer alleges that investments sold to him in 2014 were unsuitable based on his desire to protect his principal.

There are Recent Customer Complaints with Broker Angela Mccarthy in Firm Ameriprise Financial Services, LLC

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $79,309.00 on September 18, 2020.

McCarthy was a subject of the customers’ complaint against her member firm and other named respondents that asserted the following causes of action: negligence and gross negligence; misrepresentation; omission of material fact; failure to supervise; breach of fiduciary duty; and breach of contract.

Broker Ryan Stevens in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 06, 2020.

Client complains that the financial advisor did not advise that she would be giving up lifetime income on an annuity that was surrendered and reinvested into a managed account. (6/3/2020-9/30/2020)

Broker Theodore Jackson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2020.

Claimant alleges that she transferred her investment in a REIT ETN to Ameriprise and Respondents failed to recommend that she change her investments and seeks damages in an unspecified amount.

There are Recent Customer Complaints with Broker Norman Robbins in Firm Ameriprise Financial Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Robbins (Robbins), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Robbins 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 $100,000.00 on October 02, 2020.

Alleged overconcentration in real estate investments, commodity funds and energy stocks.

Broker Eduardo Zeiter in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 13, 2020.

Plaintiff alleges that Prudential wrongfully denied her $1 million claim for death benefits. She also alleges that her AFS advisor was negligent in procuring the Prudential policy and is liable for the negligent completion and submission the application on behalf of the insured.

There are Recent Customer Complaints with Broker Eric Szczurowski in Firm Ameriprise Financial Services, LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Szczurowski (Szczurowski), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Szczurowski 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 $200,000.00 on October 14, 2020.

Claimants allege that in 2018, their advisor recommended they purchase unsuitable and high-commission Multi-Index Universal Life insurance policies (“IUL Policies”).

There are Recent Customer Complaints with Broker Brian Bausman in Firm Ameriprise Financial Services, LLC

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Bausman (Bausman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bausman 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 $8,260.42 on October 30, 2020.

Claimants allege that from October 2015 to November 2018, Respondents recommended and placed Claimants in a monthly fee-based managed account that was not suitable for Claimants; and failed to recommend and place Claimants in commission-based brokerage account. Claimants seek $8,260.42 in management and investment advisory fees.

Broker David Monckton in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monckton (Monckton), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monckton 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 $17,500.00 on October 28, 2020.

Claimants allege investments sold to them beginning in 2013 were unsuitable and too risky based on their desire to avoid long term, illiquid investments.

There are Recent Customer Complaints with Broker Bryant Caveness in Firm Ameriprise Financial Services, LLC

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryant Caveness (Caveness), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Caveness 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 $230,000.00 on November 17, 2020.

Claimants allege that Respondents placed them in precious metals and mining stocks, inverse and leveraged ETFs, and gold coins, and allege unsuitability, breach of fiduciary duty, and negligent supervision. Claimant seeks compensatory damages of $230,000.