Ameriprise Financial Services

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

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Foret (Foret), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foret 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 $75,000.00 on January 25, 2021.

Claimants allege that their advisor recommended that they utilize margin in their accounts that was not suitable for them and caused an increase in the management fees that they paid on their accounts. Claimants also allege their advisor recommended an unsuitable security in an account and overconcentrated a position a separate account.

There are Recent Customer Complaints with Broker Thomas Chandler in Firm Ameriprise Financial Services, LLC

April 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Chandler (Chandler), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler 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 $50,000.00 on April 07, 2025.

Claimants allege a tax consequence related to transactions in their trust account.

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

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kersting (Kersting), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kersting 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 $500,000.00 on February 02, 2026.

Claimants allege that Respondents recommended an aggressive investment strategy incompatible with their investment profile.

Broker Drew Peacock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Peacock 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 $150,000.00 on February 23, 2026.

Claimant alleges that respondents made inappropriate investment strategy recommendations that were wildly speculative and unsuitable, particularly the recommendation of low interest corporate bonds (Activision bonds) with extremely long maturities and that offered relatively low coupon payments.

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.