Articles Tagged with James Lombardo

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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 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.

Continue Reading
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