Ameriprise Financial Services

There are Recent Customer Complaints with Broker Michael Lader in Firm Ameriprise Financial Services, LLC

June 1, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Lader (Lader), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lader’s most recent customer complaint alleges that Lader recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on April 17, 2026.

Customer alleges that in December 2021 the registered representative recommended a 1035 exchange into a Variable Universal Life and the purchase of a variable long-term care product that were unsuitable, improperly structured, and intended to generate commissions. The allegations include failure to provide an illustrated rider and underfunding leading to declining value.

There are Recent Customer Complaints with Broker Denis Drummey in Firm Ameriprise Financial Services, INC.

May 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 one disclosable event. These events include one customer complaint, 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 Aaron Turner in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Turner (Turner), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turner 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 $50,000.00 on November 30, 2020.

Claimant alleges that she was recommended unsuitable, high-commission illiquid investments including FS Energy & Power Fund and CPA 17 Global.

There are Recent Customer Complaints with Broker Dennis Charleton in Firm Ameriprise Financial Services, LLC

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Charleton (Charleton), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Charleton 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 $90,000.00 on December 23, 2020.

Claimant alleges that he was recommended FSKR, an unsuitable, high-commission, illiquid alternative investment initially purchased at LPL.

There are Recent Customer Complaints with Broker Peter Butler in Firm Ameriprise Financial Services, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Butler (Butler), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $65,000.00 on December 23, 2020.

Claimant alleges that in August 2013, Respondent recommended unsuitable investmenets in KBS REIT and Watermark Lodging REIT and seeks $65,000 in damages.

There are Recent Customer Complaints with Broker Alan Thomilson in Firm Ameriprise Financial Services, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Thomilson (Thomilson), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thomilson 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 $250,000.00 on December 28, 2020.

Claimants allege, during the time period November 2017-August 2018, their former Ameriprise advisor recommended they liquidate their positions in 3 variable annuities, which caused them to incur surrender charges, in order to invest in a fixed-indexed annuity.

Broker Jill Murphy in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Murphy (Murphy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $5,185.00 on March 02, 2026.

The client alleged that the advisor made a poor recommendation to complete a Roth Conversion in 2025 because it rose their taxable income over the Affordable Care Act Benefit threshold.

There are Recent Customer Complaints with Broker Gary Schaap in Firm Ameriprise Financial Services, LLC

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Schaap (Schaap), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schaap 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 $1,378,624.00 on March 24, 2026.

The client alleged that recommendations made in 2015 & 2016 were unsuitable for a retiring client who requested conservative low risk investments.

Broker Brian Peers in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Peers (Peers), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peers 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 $3,166,966.00 on March 24, 2026.

Claimants allege that they instructed their advisor to purchase $100,000 each in NVIDIA, Apple, and Broadcom on 3/24/2020, but he failed to execute the trades.

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

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John West (West), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 $96,678.83 on March 26, 2026.

The client and policy owner alleged that her advisor failed to pay the initial premium on her Mutual of Omaha Long-Term Care (LTC) policy by the September 7, 2020, due date, as instructed by the client, letting the policy lapse in October of 2020.