Ameriprise Financial Services

Broker Douglas Scalard in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Scalard (Scalard), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scalard 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 February 23, 2023.

Claimants allege from 2015 to the present, respondent provided unsuitable investment recommendations and failed to provide full accounting for the Trusts.

There are Recent Customer Complaints with Broker Richard Campbell in Firm Ameriprise Financial Services, LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Campbell (Campbell), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 February 23, 2023.

Claimants allege from 2015 to the present, respondent provided unsuitable investment recommendations and failed to provide full accounting for the trusts.

There are Recent Customer Complaints with Broker Cathie Joughin in Firm Ameriprise Financial Services, LLC

September 13, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Cathie Joughin (Joughin) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Joughin was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Joughin’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.

Claimant alleges that on or about late 2019 and early 2020, his father fell victim to elder abuse and misappropriation by his Financial Advisor (FA).

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

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gustafson (Gustafson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $36,974.00 on April 08, 2023.

The client alleged the advisor transferred the incorrect number of AAPL shares from her Roth IRA to her NQ account in January 2022 and misrepresented the amount of tax liability she would be responsible for.

There are Recent Customer Complaints with Broker Frank Aguilar in Firm Ameriprise Financial Services, LLC

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Aguilar (Aguilar), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aguilar 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 $437,500.00 on April 12, 2023.

Claimants allege that in 2017, the now deceased client’s advisor improperly referred her to an attorney for the possibility of selling annuities that she received from a personal injury litigation in 2011. As a result of the referral, [REDACTED] entered into a fee agreement with the attorney to sell her annuities with a 25% contingent fee. Claimants allege that this was not in the best interest of the client as the advisor hoped to benefit from liquidating the annuities because the fee agreement provided that the funds be sent directly to him. As a result of the annuity sale, [REDACTED]’s net proceeds were reduced by the $437,500 fee.

There are Recent Customer Complaints with Broker Bruce Westphal in Firm Ameriprise Financial Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Westphal (Westphal), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westphal 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 $10,832.74 on September 12, 2024.

The client alleged that the advisor informed her that she would continue her 5% increase to the benefit base of her RiverSource Roth IRA annuity, as long as she did not access funds from the annuity during a 2022 meeting.

Broker Mark Barrand in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Barrand (Barrand), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrand 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 $40,000.00 on May 17, 2023.

Claimants allege that the registered representative recommended unsuitable investments that resulted in losses.

There are Recent Customer Complaints with Broker Jeffrey Johnson in Firm Ameriprise Financial Services, LLC

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Johnson (Johnson), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $41,413.47 on May 24, 2023.

The clients allege their Dollar Cost Averaging (DCA) arrangement inactivated in 2016 in error, resulting in their Indexed Universal Life (IUL) policies being underfunded as their cash value remained in the fixed account. In addition, one client alleged that there was also a missed premium payment of $42,000 in August of 2016.

Broker Mark Sonntag in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Sonntag (Sonntag), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sonntag 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 May 23, 2023.

Claimants allege Representative improperly recommended a high-risk investment in GWG L Bonds.

Broker Jason Turner in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Turner (Turner), previously 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 on June 06, 2023.

BREACH OF FIDUCIARY DUTY, SUITABILITY, FRAUD, NEGLIGENT MISREPRESENTATION, FAILURE TO SUPERVISE, VIOLATION OF INDUSTRY RULES, BREACH OF CONTRACT.