Ameriprise Financial Services

Broker Cedric Powell in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cedric Powell (Powell), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Powell 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 $5,000.00 on July 28, 2021.

Customers are alleging representative misappropriated funds from their mutual fund account to pay premiums on policies the customers were not aware existed.

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

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bruggemann (Bruggemann), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruggemann 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 $180,000.00 on August 05, 2021.

Claimants allege the representative recommended investments that were unsuitable.

Broker Henry Cormier in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2021.

The client alleged equity security sell trades in December 2020 were executed without her authorization.

Broker Keith Chandler in Ameriprise Financial Services, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

Previously financial advisor Keith Chandler (Chandler), 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 with a damage request of $203,000.00 on September 20, 2021.

Claimant alleges that she was recommended to invest in unsuitable and risky privately traded BDCs, FSKR and FSEP.

Broker Jason Garofalo in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

Currently financial advisor Jason Garofalo (Garofalo), 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 $150,000.00 on November 05, 2021.

Claimant alleges that she was recommended unsuitable investment positions including Inventrust and Hospitality Investor’s Trust REITs.

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

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 12, 2021.

Claimant alleges that Respondents failed to timely or appropriately update the beneficiaries on her ex-husband’s accounts in 2013.

There are Recent Customer Complaints with Broker Kevin Nanthrup in Firm Ameriprise Financial Services, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nanthrup (Nanthrup), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nanthrup 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 $23,291.10 on November 16, 2021.

The client alleged her advisor did not follow her instructions regarding how a variable annuity purchase was to be funded in July 2020.

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

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Adams (Adams), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Adams 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 $250,000.00 on November 19, 2021.

Claimant alleges that the financial professional recommended an investment that was unsuitable.

There are Recent Customer Complaints with Broker David Sladek in Firm Ameriprise Financial Services, INC.

January 15, 2026 | by Staff Attorney

Previously financial advisor David Sladek (Sladek), 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 with a damage request of $263,000.00 on December 07, 2021.

Customer allegations include Violation of Federal Securities Laws, Violation of Minnesota Securities Laws, Violation of the Minnesota Consumer Fraud Act, Uniform Deceptive Trade Practices Act, Fales Statement in Advertisement Act and Unlawful Trade Practices Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence resulting from the purchase of three Non-Traded REITs in 2014-15.

There are Recent Customer Complaints with Broker Jason Merrill in Firm Ameriprise Financial Services, LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Merrill (Merrill), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Merrill 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 $19,793.98 on October 31, 2025.

The client alleged the advisor conducted unauthorized trading in her non-qualified Managed and Brokerage accounts on June 24, 2025.