Investors apparently complained about securities broker Steven Michael Brundage (also known as Steve Brundage) [CRD: 2597779, Las Vegas, Nevada], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brundage worked for Ameriprise Financial Services LLC beginning on October 4, 1996, as a broker and March 9, 2001, as an investment adviser. Keep reading to find out more about the disclosures involving this securities broker.
Specifically, on September 17, 2025, an Ameriprise Financial Services LLC client filed FINRA Arbitration No. 25-01937 about Steven Brundage. Mainly, the client alleged that Brundage overconcentrated accounts and made unsuitable recommendations. Because of this, the client allegedly experienced damages on variable annuities and mutual funds. Consequently, the client requested $1,212,685 in compensation from Ameriprise Financial Services LLC or Brundage. It appears that this arbitration is pending a resolution.
Notably, a client of Ameriprise Financial Services Inc disputed Steven Brundage’s sales practices, based on a complaint. Allegedly, Brundage made unsuitable recommendations and failed to deliver a contract to the client. It appears that Brundage allegedly caused the investor to sustain damages associated with variable annuities. Therefore, Ameriprise Financial Services Inc opted to settle the matter on May 27, 2008, by compensating the client in the amount of $4,131.90.
Do you have concerns or questions regarding investments you made with Steven Brundage? Contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Brundage and brokerage firms Brundage worked for deny accusations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com