Tagged with "Ameriprise"

FINRA Fines Ameriprise $850K For Supervisory Failures

Posted on September 22nd, 2016 at 9:05 AM
FINRA Fines Ameriprise $850K For Supervisory Failures

Ameriprise was fined $850,000 by FINRA because it failed to supervise one of its registered representatives.  

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FINRA Fines Ameriprise for Arbitration Discovery Abuse

Posted on December 11th, 2014 at 11:07 AM
FINRA Fines Ameriprise for Arbitration Discovery Abuse

FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding.

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FINRA Fines Ameriprise and Advisor for Altering Documents

Posted on November 1st, 2014 at 10:28 AM

FINRA has fined and temporarily suspended a financial advisor with Ameriprise for altering a client’s documents without authority during an arbitration hearing, and also has fined Ameriprise for knowingly keeping quiet about the changes.

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TESTIMONIALS

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Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

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