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Tagged with "Ameriprise"

Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

Posted on February 11th, 2026 at 1:38 PM
Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.

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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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I just wanted to say thanks again for preparing and executing my case in such a professional manner. It was a pleasure to watch two professionals take such pride in their work, as well as becoming personally in tune with your client (Me). I would personally recommend you and your firm to anyone.

John O.

LATEST NEWS AND ARTICLES

1792164960 Law
October 16, 2026
Ameriprise and Broker Ordered to Pay Edward Jones Nearly $4.8 Million in Trade Secrets Dispute

Ameriprise Financial and broker Cory J.

1792083058 Law
October 15, 2026
SEC Warns Firms to Improve Private Asset Valuation and Disclosures

The Securities and Exchange Commission (SEC) is pressing financial firms to take greater care when valuing private assets as liquidity tightens and investor redemption requests increase, according to AdvisorHub.

1791996515 Law
October 14, 2026
FINRA Study Finds Advanced Investment Knowledge Does Not Eliminate Fraud Risk

Research using the FINRA Investor Education Foundation's 2024 National Financial Capability Study found that fewer than one in five investors with non-retirement investments demonstrate advanced investment literacy.