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March 6, 2018
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Blog, Current Investigations
1,791 Ameriprise Financial Customers reportedly overpaid a total of $1,778,592.31 in Higher-fee mutual fund shares. According to the Securities and Exchange Commission, on February 28th,the regulator announced that Ameriprise Financial Services Inc. has agreed to settle charges for recommending and selling higher-fee
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June 26, 2017
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Blog, Current Investigations, Securities Fraud
Panel alleges Ameriprise Financial breached fiduciary duty A FINRA arbitration panel of three public arbitrators awarded $440,158 in compensatory damages sought by heirs to one of the firm’s clients, claiming that Ameriprise Financial was liable. According to the Financial Industry Regulatory Authority
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March 21, 2016
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Blog, Securities Fraud
According to Financial Advisor IQ, a FINRA arbitration panel awarded approximately $2 million to an investor whose brokerage firm failed to supervise former broker Jeffrey Davis. According to the report, Ameriprise Financial was ordered pay a little over $2 million in damages and sanctions to the estate of Glenny B.
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