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 TypesPenalty TotalNumber of Records
securities issuance or trading violation$158,706,6933
investor protection violation$61,030,0006
wage and hour violation$185,0001
employment discrimination$128,2001
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 Amountsort icon
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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