Allied Home Mortgage Capital Corporation |
Americus Mortgage |
consumer protection violation |
2003 |
HUD |
$370,000 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2006 |
WHD |
$14,479 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2006 |
WHD |
$1,800,282 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2006 |
WHD |
$30,928 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
wage and hour violation |
2005 |
WHD |
$9,830 |
Allied Home Mortgage |
Americus Mortgage |
wage and hour violation |
2004 |
WHD |
$14,037 |
Allied Home Mortgage |
Americus Mortgage |
fraud |
2017 |
USAO |
$296,298,325 |
Allied Home Mortgage Capital Corp. |
Americus Mortgage |
investor protection violation |
2009 |
AR-SEC |
$10,000 |
Allied Home Mortgage Corp. |
Americus Mortgage |
consumer protection violation |
2012 |
IL-BKG |
$7,500 |
Allied Home Mortgage Capital Corp. |
Americus Mortgage |
consumer protection violation |
2009 |
KY-FIN |
$5,740 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
consumer protection violation |
2009 |
NY-DFS |
$10,000 |
Allied Home Mortgage Capital Corporation |
Americus Mortgage |
consumer protection violation |
2009 |
PA-BKG |
$8,000 |
Allied Home Mortgage Corporation et al. |
Americus Mortgage |
consumer protection violation |
2012 |
PA-BKG |
$10,000 |
ALLIED HOME MORTGAGE CAPITAL |
Americus Mortgage |
consumer protection violation |
2008 |
VA-FIN |
$5,000 |
ALLIED HOME MORTGAGE CAPITAL |
Americus Mortgage |
consumer protection violation |
2010 |
VA-FIN |
$25,000 |
Investment Professionals Inc. |
Ameriprise Financial |
investor protection violation |
2014 |
SEC |
$67,800 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2009 |
SEC |
$17,300,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$15,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$30,000,000 |
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
SEC |
$140,000,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2004 |
SEC |
$3,706,693 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
employment discrimination |
2016 |
OFCCP |
$128,200 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2017 |
SEC |
$8,750,000 |
Columbia Management Investment Services Corp. |
Ameriprise Financial |
investor protection violation |
2017 |
SEC |
$250,000 |
Ameriprise Financial Services |
Ameriprise Financial |
investor protection violation |
2018 |
SEC |
$230,000 |
Ameriprise Financial |
Ameriprise Financial |
wage and hour violation |
2011 |
private lawsuit-federal |
$185,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
investor protection violation |
2018 |
SEC |
$4,500,000 |
American Express Financial Advisors |
Ameriprise Financial |
employment discrimination |
2002 |
private lawsuit-federal |
$31,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
benefit plan administrator violation |
2015 |
private lawsuit-federal |
$27,500,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
NJ-AG |
$5,000,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
consumer protection violation |
2009 |
MA-AG |
$200,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2018 |
NJ-AG |
$375,000 |
Ameriprise Group |
Ameriprise Financial |
insurance violation |
2017 |
MULTI-AG |
$1,500,000 |
American Express Financial Advisors |
Ameriprise Financial |
investor protection violation |
2000 |
AZ-CC |
$125,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
AZ-CC |
$1,000,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2006 |
AZ-CC |
$1,250,000 |
RiverSource Life Insurance Co. |
Ameriprise Financial |
insurance violation |
2015 |
CA-INS |
$800,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2018 |
CA-DFPI |
$115,000 |
RiverSource Life Insurance Co. |
Ameriprise Financial |
insurance violation |
2018 |
DE-INS |
$75,000 |
RiverSource Life Insurance Co. |
Ameriprise Financial |
insurance violation |
2011 |
FL-OFR |
$10,500 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2008 |
IL-SEC |
$1,449,384 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2009 |
KY-FIN |
$983,984 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2013 |
MA-SEC |
$400,000 |
Investment Professionals, Inc. |
Ameriprise Financial |
investor protection violation |
2017 |
MA-SEC |
$100,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2013 |
MD-SEC |
$50,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
investor protection violation |
2002 |
MN-FIN |
$5,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
MN-FIN |
$2,000,000 |
Investment Professionals, Inc. |
Ameriprise Financial |
investor protection violation |
2009 |
MO-SEC |
$52,500 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2008 |
MS-SEC |
$150,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
consumer protection violation |
2013 |
NE-DBF |
$10,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
NH-BSR |
$7,375,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2008 |
NH-BSR |
$3,400,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2014 |
NH-BSR |
$90,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2016 |
NH-BSR |
$30,800 |
Investment Professionals Inc. |
Ameriprise Financial |
insurance violation |
2014 |
NY-DFS |
$10,000 |
Ameriprise Advisor Services Inc. |
Ameriprise Financial |
investor protection violation |
2009 |
RI-FIN |
$48,411 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
investor protection violation |
2018 |
SC-SEC |
$650,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2000 |
TX-SEC |
$9,000 |
AMERIPRISE FINANCIAL SERVICES |
Ameriprise Financial |
investor protection violation |
2008 |
VA-SEC |
$780,000 |
AMERIPRISE FINANCIAL SERVICES, INC. |
Ameriprise Financial |
investor protection violation |
2016 |
VA-SEC |
$14,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2016 |
WA-FIN |
$55,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
investor protection violation |
2009 |
MULTI-FIN |
$720,000 |
RiverSource Life Insurance Company |
Ameriprise Financial |
insurance violation |
2016 |
MULTI-FIN |
$1,500,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2016 |
FINRA |
$850,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2013 |
FINRA |
$750,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
FINRA |
$12,300,000 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
investor protection violation |
2005 |
FINRA |
$1,250,000 |
American Express Financial Advisors |
Ameriprise Financial |
investor protection violation |
2005 |
FINRA |
$13,000,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2004 |
FINRA |
$700,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
investor protection violation |
2004 |
FINRA |
$300,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
investor protection violation |
2002 |
FINRA |
$350,000 |
Amerisave Mortgage Corporation and Novo Appraisal Management Company |
AmeriSave Mortgage |
consumer protection violation |
2014 |
CFPB |
$19,300,000 |
Amerisave Mortgage Corp. |
AmeriSave Mortgage |
consumer protection violation |
2017 |
CA-DFPI |
$50,000 |
AmeriSave Mortgage Corp. |
AmeriSave Mortgage |
consumer protection violation |
2009 |
KY-FIN |
$18,000 |
AmeriSave Mortgage Corp. |
AmeriSave Mortgage |
consumer protection violation |
2019 |
KY-FIN |
$5,000 |
AmeriSave Mortgage Corp. |
AmeriSave Mortgage |
consumer protection violation |
2010 |
MA-BKG |
$25,000 |
Amerisave Mortgage Corporation |
AmeriSave Mortgage |
consumer protection violation |
2009 |
PA-BKG |
$50,000 |
Amerisave Mortgage Corporation |
AmeriSave Mortgage |
investor protection violation |
2013 |
MULTI-FIN |
$2,300,000 |
AmeriSave Mortgage Corporation |
AmeriSave Mortgage |
privacy violation |
2020 |
private lawsuit-federal |
$6,250,000 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2015 |
SEC |
$200,000 |
Ameritas Life Insurance Corp |
Ameritas Mutual Holding Company |
wage and hour violation |
2017 |
WHD |
$9,019 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2019 |
SEC |
$3,389,174 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2019 |
CA-INS |
$15,000 |
Ameritas Life Insurance Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2019 |
CT-INS |
$5,000 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2014 |
IA-INS |
$10,000 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2008 |
NE-DBF |
$11,000 |
Ameritas Life Insurance Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2015 |
NJ-DBI |
$2,524,290 |
Ameritas Life Insurance Corp. of New York |
Ameritas Mutual Holding Company |
insurance violation |
2015 |
NY-DFS |
$72,975 |
Ameritas Life Insurance Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2006 |
OR-FIN |
$5,000 |
Ameritas Investment Corporation |
Ameritas Mutual Holding Company |
investor protection violation |
2003 |
TX-SEC |
$25,000 |
AMERITAS LIFE INSURANCE CORP |
Ameritas Mutual Holding Company |
insurance violation |
2001 |
VA-INS |
$9,000 |
Ameritas Life Insurance Corp |
Ameritas Mutual Holding Company |
insurance violation |
2017 |
WA-INS |
$10,000 |
Ameritas Life Insurance Corp |
Ameritas Mutual Holding Company |
insurance violation |
2019 |
WA-INS |
$50,000 |
Ameritas Investment Company LLC |
Ameritas Mutual Holding Company |
investor protection violation |
2020 |
PA-BKG |
$100,000 |
Ameritas Life Insurance Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2020 |
TN-INS |
$30,000 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2015 |
FINRA |
$278,544 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2009 |
FINRA |
$100,000 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
investor protection violation |
2021 |
SD-SEC |
$20,000 |
Ameritas Life Insurance Corp. of New York |
Ameritas Mutual Holding Company |
insurance violation |
2020 |
NY-DFS |
$84,668 |
Ameritas Advisory Services, LLC |
Ameritas Mutual Holding Company |
investor protection violation |
2022 |
SEC |
$4,628,194 |
Ameritas Life Insurance Corp. |
Ameritas Mutual Holding Company |
insurance violation |
2022 |
WA-INS |
$40,000 |