Tagged with "Ameriprise"

FINRA Bars Former Ameriprise Advisor Over $2.2 Million in Client Loans

Posted on August 15th, 2025 at 1:42 PM
FINRA Bars Former Ameriprise Advisor Over $2.2 Million in Client Loans

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Ameriprise Financial broker Eric A. Dupre for borrowing more than $2.2 million from clients without firm authorization.

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FINRA Bars Former Ameriprise Advisor Who “Falsified” Client Event Expenses

Posted on May 2nd, 2022 at 2:36 PM
FINRA Bars Former Ameriprise Advisor Who “Falsified” Client Event Expenses

The Financial Industry Regulatory Authority (FINRA) has barred a former Ameriprise advisor who allegedly falsified $25,000 in reimbursement requests submitted to the firm for client events that she sponsored through wholesaler contributions.

 
 
 

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Supreme Court Rules in Favor of Former Ameriprise Advisor

Posted on April 8th, 2022 at 12:09 PM
Supreme Court Rules in Favor of Former Ameriprise Advisor

The U.S. Supreme Court has ruled in favor of a former Ameriprise Financial advisor in a landmark decision that could provide advisors with more leeway when disputing arbitration awards.

 
 

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LATEST NEWS AND ARTICLES

November 20, 2025
Supreme Alliance Fined for Failure to Supervise Variable Annuity Sales

The Financial Industry Regulatory Authority (FINRA) has fined Supreme Alliance $80,000 for failing to supervise recommendations and exchanges involving deferred variable annuities, as well as for failing to document background checks for newly hired registered representatives.

November 19, 2025
Lawsuit Accuses Inspired Healthcare Capital of Concealing Insolvency

According to news sources, a new lawsuit alleges that Inspired Healthcare Capital (IHC) and its CEO, Luke Lee, misrepresented the company’s financial health and concealed insolvency from a lender who extended a $1.5 million loan in late 2024.

 

November 18, 2025
Former FINRA Brokers with Misconduct Histories Flock to Insurance Industry, According to Recent Study

A recent academic study reveals that thousands of brokers expelled from the securities industry for misconduct nonetheless continue to operate under state insurance licenses, often selling annuities and other financial products to unsuspecting clients.