Ameriprise Financial Services

Broker Eric Felsenfeld in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

Currently financial advisor Eric Felsenfeld (Felsenfeld), currently employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on March 30, 2026.

Claimant seeks $200,000\\u2013$300,000 relating to two separate matters: (1) a $58,000 GWG L Bond purchase that was rendered worthless by GWG’s subsequent bankruptcy; and (2) a leveraged private placement strategy that performed poorly following distribution suspensions and increased borrowing costs. Notably, the claimant was able to redeem one of the three private placements (Braemar), and the Spring Hills position, while currently suspended, has not been written off. The claim is filed by Iorio Law, a plaintiffs’ firm, and relies heavily on hindsight.

There are Recent Customer Complaints with Broker Roderick Gosa in Firm Ameriprise Financial Services, LLC

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Gosa (Gosa), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gosa 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 $18,000.00 on March 31, 2026.

The client alleged that the advisor opened an Ameriprise ONE margin account without their knowledge in May of 1999.

There are Recent Customer Complaints with Broker Shirley Washam in Firm Ameriprise Financial Services, LLC

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Washam (Washam), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Washam 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 $71,375.65 on April 20, 2020.

Client alleges unauthorized sale of an annuity. Allegation Activity Dates: 3/21/2019 – 4/20/2020.

There are Recent Customer Complaints with Broker Gregory Aest in Firm Ameriprise Financial Services, INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Aest (Aest), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Aest 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 April 29, 2020.

Unsuitable recommendations, failure to supervise and failure to conduct proper due diligence.

Broker James Callaway in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Callaway (Callaway), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaway 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 $59,000.00 on April 29, 2020.

The client alleged the advisor provided incorrect information about mutual fund sales amounts.

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

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schinsky (Schinsky), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schinsky 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 $280,000.00 on May 11, 2020.

The client alleged the advisor placed unauthorized trades in two of his qualified managed accounts on March 12, 2020.

There are Recent Customer Complaints with Broker Jatana Norris in Firm Ameriprise Financial Services, INC.

May 7, 2026 | by Staff Attorney

Previously financial advisor Jatana Norris (Norris), previously employed by brokerage firm Ameriprise Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Claimants allege respondents recommended variable annuities, non-traded REITs and non-traded BDC’s and the investments were unsuitable for them. Claimants also allege that Ameriprise failed to supervise the Claimants’ advisors. Claimants’ causes of action are breach of fiduciary duty and negligence.

Broker Malcolm Norris in Ameriprise Financial Services, INC. Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

Previously financial advisor Malcolm Norris (Norris), previously employed by brokerage firm Ameriprise Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Claimants allege respondents recommended variable annuities, non-traded REITs and non-traded BDC’s and the investments were unsuitable for them. Claimants also allege that Ameriprise failed to supervise the Claimants’ advisors. Claimants’ causes of action are breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Craig Guinta in Firm Ameriprise Financial Services, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Guinta (Guinta), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinta 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 $49,999.99 on June 01, 2020.

Client through attorney, alleges breach of fiduciary duty, misrepresentation and unsuitable investment recommendations by RR from August 2012 through October 2016.

There are Recent Customer Complaints with Broker Barry Abrams in Firm Ameriprise Financial Services, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Abrams (Abrams), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 $20,000.00 on June 01, 2020.

Claimant alleges respondent recommended unsuitable investments in FS Energy and Power and Corporate Capital Trust for his children’s college savings. His causes of action are negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, and violations of FINRA’s conduct rules.