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August 15, 2018
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Blog, Current Investigations, Securities Fraud
SEC Charges Ameriprise Financial with Failure to Safeguard Client Assets According to a press announcement today, Ameriprise Financial Services Inc. will pay $4.5 million to settle SEC charges that it failed to safeguard retail investor assets from theft by its representatives. According to the SEC’s order, five
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September 6, 2013
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Blog, Securities Fraud
According to reports, five brokerage firms agreed to pay an additional $10.7 million in restitution to investors who purchased non-traded real estate investments (REITs). Back in May the five firms agreed to pay $6.1 million in restitution and $975,000 collectively in fines, following an investigation by Massachusetts
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