Articles Tagged with Ameriprise Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobi 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 July 07, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Geblein (Geblein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geblein 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 $16,641.92 on April 15, 2025.

The client alleged that the advisor traded in his Qualified Strategic Portfolio Service Advisory account on January 6, 2025, prior to receiving his approval of the elected asset allocation model.

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

Guardian for client alleges advisor did not follow instructions related to client’s estate plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sam Su (Su), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Su recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 25, 2025.

Claimant alleges, inter alia, that the investment strategy executed in the client’s account was unsuitable – September 2023 to Dec 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Osgood (Osgood), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osgood 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 $22,000.00 on May 02, 2025.

The client alleged that $150,000 of a First Trust UIT was purchased in March 2025 without his authorization or prior consent. The client also alleged that the UIT was not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Dotterweich (Dotterweich), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dotterweich 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 $2,194,871.94 on May 05, 2025.

Plaintiff alleges his advisor assisted Plaintiff’s wife in: opening individual and joint financial accounts in Plaintiff’s name without Plaintiff’s knowledge; preventing Plaintiff from understanding his financial accounts; and withdrawing funds from Plaintiff’s individual and joint accounts without his knowledge.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jesse Webb (Webb), 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), Webb’s most recent customer complaint alleges that Webb 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 $18,000.00 on May 12, 2025.

The client alleged that the advisor invested them in a Cleveland Cliffs structured note that was not in their best interest as it carried too much risk by being tied to one equity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Brandt (Brandt), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandt 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 $41,281.37 on May 23, 2025.

Claimants allege advisor did not follow their instructions resulting in portfolio losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Durrett (Durrett), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Durrett 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 $102,964.35 on May 21, 2025.

The client alleged the advisor purchased three brokered Certificates of Deposit without her verbal approval in March 2025.

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