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 […]

Investors apparently complained about securities broker Patrick Wayne Norris [CRD: 5119082, Vero Beach, Florida], according to disclosures found on FINRA BrokerCheck. Evidently, Norris has worked for Fidelity Brokerage Services LLC since March 27, 2024, and Strategic Advisers LLC since March 31, 2025. His prior employment includes Fidelity Personal and Workplace Advisors from April 23, 2024, […]

Investors potentially experienced sales practice violations due to securities broker Edmund Michael Iannelli [CRD: 2052704, Saddle Brook, New Jersey], according to publicly available information on FINRA BrokerCheck. Evidently, Edmund Iannelli has been registered with Ameriprise Financial Services LLC since November 8, 2019, and previously worked with Morgan Stanley in Paramus, New Jersey, from June 1, […]

One or more investors apparently complained about securities broker Ted Arthur Boutis [CRD: 2951760, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ted Boutis has worked for Ameriprise Financial Services LLC since November 13, 1997, as a broker, and since October 5, 2006, as an investment adviser. These registrations are tied to his […]

Investors possibly experienced losses because of securities broker Eric Vance Kubiak [CRD: 4637674, Cheektowaga, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eric Kubiak worked for Ameriprise Financial Services LLC from August 12, 2008, to April 6, 2023. Check out the following information about the disclosures involving this […]

Investors complained about securities broker Gary William Holland [CRD: 852976, Leominster, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Holland worked for Ameriprise Financial Services Inc. until 2015. He joined Cetera Investment Advisers in 2023 and Cetera Advisor Networks in 2021. Here’s more about the securities broker’s disclosures and the […]

Investors might have sustained losses due to securities broker Roy Chuck Waugh [CRD: 2130562, Lawton, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roy Waugh joined Ameriprise Financial Services LLC on May 6, 1991. Here’s more about the securities broker’s disclosures. Ameriprise Financial Services Client Accused Waugh Of Beneficiary Change Issue […]

FINRA sanctioned securities broker Cynthia S. Beyerlein (also known as Cindy Beyerlein) [CRD: 4320421, San Diego, California], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Beyerlein worked for Ameriprise Financial Services LLC from April 25, 2014, until February 9, 2023, and briefly at Kingswood Capital Partners LLC from March 28, 2023, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Scott Jay Matalon [CRD: 4637378, New York, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matalon worked for Ameriprise Financial Services LLC from May 31, 2013, to August 16, 2019. He then worked […]