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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$338,451,272
Number of records: 56
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$275,532,57244
employment-related offenses$58,813,2004
consumer-protection-related offenses$4,105,5008
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$275,532,57244
employment discrimination$31,128,2002
benefit plan administrator violation$27,500,0001
insurance violation$3,895,5006
consumer protection violation$210,0002
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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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.investor protection violation2005SEC$140,000,000
American Express Financial Advisorsemployment discrimination2002private lawsuit-federal$31,000,000
Ameriprise Financial, Inc.investor protection violation2005SEC$30,000,000
Ameriprise Financial, Inc.benefit plan administrator violation2015private lawsuit-federal$27,500,000
Ameriprise Financial Services, Inc.investor protection violation2009SEC$17,300,000
Ameriprise Financial, Inc.investor protection violation2005SEC$15,000,000
American Express Financial Advisorsinvestor protection violation2005FINRA$13,000,000
Ameriprise Financial Services, Inc.investor protection violation2005FINRA$12,300,000
Ameriprise Financial Services, Inc.investor protection violation2017SEC$8,750,000
American Express Financial Advisors Inc.investor protection violation2005NH-BSR$7,375,000
American Express Financial Advisors Inc.investor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services Inc.investor protection violation2018SEC$4,500,000
American Express Financial Advisors Inc.investor protection violation2004SEC$3,706,693
Ameriprise Financial Services, Inc.investor protection violation2008NH-BSR$3,400,000
American Express Financial Advisors, Inc.investor protection violation2005MN-FIN$2,000,000
Ameriprise Groupinsurance violation2017MULTI-AG$1,500,000
RiverSource Life Insurance Companyinsurance violation2016MULTI-FIN$1,500,000
Ameriprise Financial Services, Inc.investor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.investor protection violation2006AZ-CC$1,250,000
Ameriprise Financial Services, Inc.investor protection violation2005FINRA$1,250,000
Ameriprise Financial Services, Inc.investor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.investor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.investor protection violation2016FINRA$850,000
RiverSource Life Insurance Co.insurance violation2015CA-INS$800,000
AMERIPRISE FINANCIAL SERVICESinvestor protection violation2008VA-SEC$780,000
Ameriprise Financial Services, Inc.investor protection violation2013FINRA$750,000
Ameriprise Financial Services Inc.investor protection violation2009MULTI-FIN$720,000
American Express Financial Advisors Inc.investor protection violation2004FINRA$700,000
Ameriprise Financial Services Inc.investor protection violation2018SC-SEC$650,000
Ameriprise Financial Services, Inc.investor protection violation2013MA-SEC$400,000
Ameriprise Financial Services, Inc.investor protection violation2018NJ-AG$375,000
American Express Financial Advisors Inc.investor protection violation2002FINRA$350,000
American Express Financial Advisors, Inc.investor protection violation2004FINRA$300,000
Columbia Management Investment Services Corp.investor protection violation2017SEC$250,000
Ameriprise Financial Servicesinvestor protection violation2018SEC$230,000
Ameriprise Financial Services, Inc.consumer protection violation2009MA-AG$200,000
Ameriprise Financialwage and hour violation2011private lawsuit-federal$185,000
Ameriprise Financial Services, Inc.investor protection violation2008MS-SEC$150,000
Ameriprise Financial, Inc.employment discrimination2016OFCCP$128,200
American Express Financial Advisorsinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.investor protection violation2018CA-DFPI$115,000
Investment Professionals, Inc.investor protection violation2017MA-SEC$100,000
Ameriprise Financial Services, Inc.investor protection violation2014NH-BSR$90,000
RiverSource Life Insurance Co.insurance violation2018DE-INS$75,000
Investment Professionals Inc.investor protection violation2014SEC$67,800
Ameriprise Financial Services, Inc.investor protection violation2016WA-FIN$55,000
Investment Professionals, Inc.investor protection violation2009MO-SEC$52,500
Ameriprise Financial Services, Inc.investor protection violation2013MD-SEC$50,000
Ameriprise Advisor Services Inc.investor protection violation2009RI-FIN$48,411
Ameriprise Financial Services, Inc.investor protection violation2016NH-BSR$30,800
AMERIPRISE FINANCIAL SERVICES, INC.investor protection violation2016VA-SEC$14,000
RiverSource Life Insurance Co.insurance violation2011FL-OFR$10,500
Ameriprise Financial Services Inc.consumer protection violation2013NE-DBF$10,000
Investment Professionals Inc.insurance violation2014NY-DFS$10,000
American Express Financial Advisors Inc.investor protection violation2000TX-SEC$9,000
American Express Financial Advisors, Inc.investor protection violation2002MN-FIN$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.