Ameriprise Financial Services

Broker Brock Brady in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brock Brady (Brady), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brady 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 $270,000.00 on October 20, 2022.

Claimant alleges that in 2016 the Representative misrepresented that certain investments, such as a Real Estate Investment Trust, were conservative, secure, and did not carry any significant risks, and the Claimant suffered estimated losses in excess of $270,000.

There are Recent Customer Complaints with Broker Everett Ellis in Firm Ameriprise Financial Services, LLC

October 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Everett Ellis (Ellis), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ellis 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 $5,000.00 on October 25, 2022.

Customers allege they were told they could not lose money when investing in a variable annuity in October of 2017.

There are Recent Customer Complaints with Broker Roy Waugh in Firm Ameriprise Financial Services, LLC

October 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Waugh (Waugh), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waugh 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 $300,000.00 on October 24, 2022.

Claimant alleges Respondent did not change the beneficiaries as requested by [REDACTED] prior to her death and that Respondent did not pay the proper beneficiaries.

There are Recent Customer Complaints with Broker Kevin Hill in Firm Ameriprise Financial Services, LLC

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hill (Hill), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $5,000.00 on November 07, 2022.

Client alleges she did not authorize her financial advisor to purchase long-term CD, or its subsequent sale which resulted in market loss.

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

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Titus (Titus), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Titus 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 November 08, 2022.

Claimant was a McDonald’s employee who left the company in November 2020 and claims that, upon his departure, he was entitled to exercise vested stock options. Claimant alleges that defendants had a responsibility to notify him that his stock options had expired. Claimant alleges that Ameriprise breached its fiduciary duty by failing to search for information to inform him of the expiration date of his McDonalds stock options.

Broker Pedro Escobar in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Escobar (Escobar), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Escobar 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 $500,000.00 on November 11, 2022.

Client alleges unsuitable recommendations.

There are Recent Customer Complaints with Broker Paul Siegel in Firm Ameriprise Financial Services, LLC

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Siegel (Siegel), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siegel 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 $8,779.13 on November 21, 2022.

The client alleged that the advisor did not provide adequate advice on additional employer contributions for her outside 401(k) plan.

Broker Richard Simpson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Simpson (Simpson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $30,000.00 on November 28, 2022.

The client alleged the advisor did not follow her January 2022 instructions to process a full surrender of her variable annuity.

Broker Phil Wheat in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Wheat (Wheat), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wheat 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 $14,391.00 on November 29, 2022.

Poor advice and financial planning.

Broker Michael Roberts in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Roberts (Roberts), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $8,372.91 on January 24, 2023.

A beneficiary of an estate settlement alleged that the advisor changed the date on an estate settlement form after a failure to submit the forms for 3 months, resulting in losses.