Ameriprise Financial Services

There are Recent Customer Complaints with Broker Scott Roslonowski in Firm Ameriprise Financial Services, LLC

July 17, 2025 | by Staff Attorney

Currently financial advisor Scott Roslonowski (Roslonowski), currently employed by brokerage firm Ameriprise Financial Services, LLC 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 with a damage request of $200,000.00 on July 19, 2023.

The Claimants allege their advisor recommended unsuitable investments including variable annuities, variable universal life insurance and REITs.

There are Recent Customer Complaints with Broker Conrado Santiago in Firm Ameriprise Financial Services, LLC

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrado Santiago (Santiago), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 $18,000.00 on August 03, 2023.

The clients alleged the advisor did not follow instructions to modify insurance coverage and allowed their portfolio to decrease in value by not investing funds into a conservative annuity position.

Broker Derek Schanhofer in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Schanhofer (Schanhofer), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schanhofer 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 $13,786.71 on August 09, 2023.

The client alleged the advisors lack of management of his discretionary account from June 2022-July 2023 has led to missed gains totaling $13,786.71.

Broker Edmund Iannelli in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edmund Iannelli (Iannelli), 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), Iannelli’s most recent customer complaint alleges that Iannelli recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on August 14, 2023.

Claimant alleges that from 2019- 2023 her advisor recommended unsuitable investments, specifically structured products.

Broker Michael Zanders in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Zanders (Zanders), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zanders 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 $90,400.00 on August 31, 2023.

Claimant alleges advisor recommended unsuitable investment of a variable annuity.

Broker Steven Shaw in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Shaw (Shaw), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaw 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 September 05, 2023.

Client alleges that the recommended investments were unsuitable based upon his investment profile. Investments were made between 2017 and January 2022

Broker Daryl Devillier in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daryl Devillier (Devillier), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Devillier 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 $601,676.00 on September 29, 2023.

Plaintiffs allege that their advisor failed to make the premium payments on their $601,676 Principal National Life Insurance Company life insurance policy that he agreed to process on their behalf. As a result, the policy lapsed in about September 2021.

There are Recent Customer Complaints with Broker Kari Larocco in Firm Ameriprise Financial Services, LLC

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kari Larocco (Larocco), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larocco 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 $9,700.00 on October 03, 2023.

The client alleged that her advisor failed to liquidate all of her accounts, upon request, on or near to August 31, 2023. One managed account was not liquidated until September 28, 2023.

There are Recent Customer Complaints with Broker John Ledford in Firm Ameriprise Financial Services, LLC

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ledford (Ledford), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ledford 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 $500,000.00 on October 19, 2023.

Monetary damages related to certain alleged actions or inactions related to the purchase of speculative debt instruments.

Broker Daniel Wilson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Wilson (Wilson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 October 30, 2023.

Claimant alleges unsuitable investments and misrepresentations made by the advisor in 2022.