Violation Tracker

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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Ameriprise Financial
Ownership Structure: publicly traded (ticker symbol AMP)
Headquartered in: Minnesota
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000: $340,010,885
Number of records: 58

Top 5 Offense Groups (Groups Defined)	Penalty Total	Number of Records
financial offenses	$275,532,572	44
employment-related offenses	$58,813,200	4
consumer-protection-related offenses	$5,665,113	10

Top 5 Primary Offense Types	Penalty Total	Number of Records
investor protection violation	$275,532,572	44
employment discrimination	$31,128,200	2
benefit plan administrator violation	$27,500,000	1
insurance violation	$5,455,113	8
consumer protection violation	$210,000	2

Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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Company	Primary Offense Type	Year	Agency	Penalty Amount
American Express Financial Advisors, Inc.	investor protection violation	2002	MN-FIN	$5,000
American Express Financial Advisors Inc.	investor protection violation	2000	TX-SEC	$9,000
Ameriprise Financial Services Inc.	consumer protection violation	2013	NE-DBF	$10,000
Investment Professionals Inc.	insurance violation	2014	NY-DFS	$10,000
RiverSource Life Insurance Co.	insurance violation	2011	FL-OFR	$10,500
AMERIPRISE FINANCIAL SERVICES, INC.	investor protection violation	2016	VA-SEC	$14,000
Ameriprise Financial Services, Inc.	investor protection violation	2016	NH-BSR	$30,800
Ameriprise Advisor Services Inc.	investor protection violation	2009	RI-FIN	$48,411
Ameriprise Financial Services, Inc.	investor protection violation	2013	MD-SEC	$50,000
Investment Professionals, Inc.	investor protection violation	2009	MO-SEC	$52,500
Ameriprise Financial Services, Inc.	investor protection violation	2016	WA-FIN	$55,000
Riversource Life Insurance Company	insurance violation	2023	WA-INS	$59,613
Investment Professionals Inc.	investor protection violation	2014	SEC	$67,800
RiverSource Life Insurance Co.	insurance violation	2018	DE-INS	$75,000
Ameriprise Financial Services, Inc.	investor protection violation	2014	NH-BSR	$90,000
Investment Professionals, Inc.	investor protection violation	2017	MA-SEC	$100,000
Ameriprise Financial Services, Inc.	investor protection violation	2018	CA-DFPI	$115,000
American Express Financial Advisors	investor protection violation	2000	AZ-CC	$125,000
Ameriprise Financial, Inc.	employment discrimination	2016	OFCCP	$128,200
Ameriprise Financial Services, Inc.	investor protection violation	2008	MS-SEC	$150,000
Ameriprise Financial	wage and hour violation	2011	private lawsuit-federal	$185,000
Ameriprise Financial Services, Inc.	consumer protection violation	2009	MA-AG	$200,000
Ameriprise Financial Services	investor protection violation	2018	SEC	$230,000
Columbia Management Investment Services Corp.	investor protection violation	2017	SEC	$250,000
American Express Financial Advisors, Inc.	investor protection violation	2004	FINRA	$300,000
American Express Financial Advisors Inc.	investor protection violation	2002	FINRA	$350,000
Ameriprise Financial Services, Inc.	investor protection violation	2018	NJ-AG	$375,000
Ameriprise Financial Services, Inc.	investor protection violation	2013	MA-SEC	$400,000
Ameriprise Financial Services Inc.	investor protection violation	2018	SC-SEC	$650,000
American Express Financial Advisors Inc.	investor protection violation	2004	FINRA	$700,000
Ameriprise Financial Services Inc.	investor protection violation	2009	MULTI-FIN	$720,000
Ameriprise Financial Services, Inc.	investor protection violation	2013	FINRA	$750,000
AMERIPRISE FINANCIAL SERVICES	investor protection violation	2008	VA-SEC	$780,000
RiverSource Life Insurance Co.	insurance violation	2015	CA-INS	$800,000
Ameriprise Financial Services, Inc.	investor protection violation	2016	FINRA	$850,000
Ameriprise Financial Services, Inc.	investor protection violation	2009	KY-FIN	$983,984
Ameriprise Financial Services, Inc.	investor protection violation	2005	AZ-CC	$1,000,000
Ameriprise Financial Services, Inc.	investor protection violation	2006	AZ-CC	$1,250,000
Ameriprise Financial Services, Inc.	investor protection violation	2005	FINRA	$1,250,000
Ameriprise Financial Services, Inc.	investor protection violation	2008	IL-SEC	$1,449,384
Ameriprise Group	insurance violation	2017	MULTI-AG	$1,500,000
Riversource Life Insurance Co. and Riversource Life Insurance Co. of New York	insurance violation	2017	MN-FIN	$1,500,000
RiverSource Life Insurance Company	insurance violation	2016	MULTI-FIN	$1,500,000
American Express Financial Advisors, Inc.	investor protection violation	2005	MN-FIN	$2,000,000
Ameriprise Financial Services, Inc.	investor protection violation	2008	NH-BSR	$3,400,000
American Express Financial Advisors Inc.	investor protection violation	2004	SEC	$3,706,693
Ameriprise Financial Services Inc.	investor protection violation	2018	SEC	$4,500,000
American Express Financial Advisors Inc.	investor protection violation	2005	NJ-AG	$5,000,000
American Express Financial Advisors Inc.	investor protection violation	2005	NH-BSR	$7,375,000
Ameriprise Financial Services, Inc.	investor protection violation	2017	SEC	$8,750,000
Ameriprise Financial Services, Inc.	investor protection violation	2005	FINRA	$12,300,000
American Express Financial Advisors	investor protection violation	2005	FINRA	$13,000,000
Ameriprise Financial, Inc.	investor protection violation	2005	SEC	$15,000,000
Ameriprise Financial Services, Inc.	investor protection violation	2009	SEC	$17,300,000
Ameriprise Financial, Inc.	benefit plan administrator violation	2015	private lawsuit-federal	$27,500,000
Ameriprise Financial, Inc.	investor protection violation	2005	SEC	$30,000,000
American Express Financial Advisors	employment discrimination	2002	private lawsuit-federal	$31,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.	investor protection violation	2005	SEC	$140,000,000