Articles Tagged with Robert Gustafson

Broker Robert Gustafson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gustafson (Gustafson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $36,974.00 on April 08, 2023.

The client alleged the advisor transferred the incorrect number of AAPL shares from her Roth IRA to her NQ account in January 2022 and misrepresented the amount of tax liability she would be responsible for.

There are Recent Customer Complaints with Broker Robert Gustafson in Firm Moloney Securities Co., INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gustafson (Gustafson), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $110,000.00 on September 27, 2022.

Suitability/negligence. 2020