Violation Tracker Parent Company Summary
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:
$220,049,893
Number of records:
11
| Top 10 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| securities issuance or trading violation | $158,706,693 | 3 |
| investor protection violation | $61,030,000 | 6 |
| wage and hour violation | $185,000 | 1 |
| employment discrimination | $128,200 | 1 |
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.
Associated Names:
AMERICAN EXPRESS FINANCIAL ADVISORS; AMERIPRISE FINANCIAL; COLUMBIA MGT ADVISORS AND COLUMBIA FUNDS DISTRIBUTOR; COLUMBIA MGT INVESTMENT SVC
Links:
Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.
Individual Penalty Records:
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| Company | Primary Offense Type | Year | Agency |
Penalty Amount |
|---|---|---|---|---|
| Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. | securities issuance or trading violation | 2005 | SEC | $140,000,000 |
| Ameriprise Financial, Inc. | investor protection violation | 2005 | SEC | $30,000,000 |
| Ameriprise Financial Services, Inc. | investor protection violation | 2009 | SEC | $17,300,000 |
| Ameriprise Financial, Inc. | securities issuance or trading violation | 2005 | SEC | $15,000,000 |
| Ameriprise Financial Services, Inc. | investor protection violation | 2017 | SEC | $8,750,000 |
| Ameriprise Financial Services Inc. | investor protection violation | 2018 | SEC | $4,500,000 |
| American Express Financial Advisors Inc. | securities issuance or trading violation | 2004 | SEC | $3,706,693 |
| Columbia Management Investment Services Corp. | investor protection violation | 2017 | SEC | $250,000 |
| Ameriprise Financial Services | investor protection violation | 2018 | SEC | $230,000 |
| Ameriprise Financial | wage and hour violation | 2011 | private lawsuit-federal | $185,000 |
| Ameriprise Financial, Inc. | employment discrimination | 2016 | OFCCP | $128,200 |
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