Ameriprise Financial Services

Broker Christopher Cueter in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Cueter (Cueter), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cueter 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 $6,921.00 on June 17, 2020.

Client alleges that she overpaid for her mutual fund investments by purchasing and holding Class C shares, from various purchase dates starting in October 2011, versus lower cost share alternatives.

There are Recent Customer Complaints with Broker Robert Nagy in Firm Ameriprise Financial Services, LLC

April 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Nagy (Nagy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagy 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 $15,153.91 on June 23, 2020.

Client alleges that the Municipal Securities mutual fund that he purchased was not suitable for him based on his risk tolerance. Purchase date August 2019; resolution date July 2020.

There are Recent Customer Complaints with Broker Peter Frederich in Firm Ameriprise Financial Services, LLC

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Frederich (Frederich), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frederich 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 $179,000.00 on June 30, 2020.

The clients’ attorney alleged the advisor implemented a managed account portfolio without the clients’ authorization.

There are Recent Customer Complaints with Broker David Turetzky in Firm Ameriprise Financial Services, LLC

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Turetzky (Turetzky), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Turetzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 02, 2020.

Claimants allege, failure to supervise with respect to Financial Advisor’s management of accounts – July 2014 to December 2016

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

April 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Nickey (Nickey), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nickey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 21, 2020.

Claimant alleges that sometime after 2009, FA recommended unsuitable investments in Puerto Rican Bonds and MLP mutual funds.

There are Recent Customer Complaints with Broker Maria Alvarez in Firm Ameriprise Financial Services, LLC

April 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Alvarez (Alvarez), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 $1,450,000.00 on July 30, 2020.

Claimant alleges that on or about April 2018 his IPI advisor solicited and recommended an outside investment of $500,000 in diesel. Claimant alleges that he has not been repaid the $500,000 nor received any earnings. In addition, he alleges that he incurred tax liabilities of at least $200,000 because of the withdrawal of the investment amount. Claimant’s causes of action are negligence; negligent supervision; negligent hiring/retention; breach of fiduciary duty, and joint venture/joint enterprise liability. The case was originally filed in state court and received on 4/8/20. Ameriprise received the statement of claim on 7/30/20. Claimant filed an Amended Statement of Claim on 10/13/20 in which he expanded his claim to include allegations that the variable annuity he purchased in 2015 was unsuitable. He requests damages of $1,450,000 plus interest, exemplary damages, costs and fees.

Broker Lawrence Rosen in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Rosen (Rosen), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 $150,000.00 on August 11, 2020.

Claimant alleges Respondent made unsuitable recommendations for Claimants’ overall investment strategy. The causes of action are: Negligence, Professional Negligence, Violations of Law, Unsuitable Recommendations, Negligent Supervisions, Breach of Contract, Breach of Fiduciary Duty and Breach of Securities Industry Rules and Regulations.

Broker Thomas Fons in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Fons (Fons), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fons 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 $1,000,000.00 on August 14, 2020.

Claimants allege misrepresentation regarding a variable annuity from 2003 to 2017.

Broker David Topper in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Topper (Topper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Topper 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 $77,941.00 on December 07, 2020.

Clients allege they did not understand the nature of the fixed indexed annuities they bought and failure to follow investment instructions in April 2020.

Broker Lawrence Margolin in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Margolin (Margolin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Margolin 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 December 07, 2020.

Claimant asserts claims for fraud, breach of fiduciary duty, negligence, gross negligence and breach of contract in connection with allegedly unsuitable investments in annuities and ETFs. From 4/1/2014 to 9/30/2020.