Violation Tracker Individual Record
Company:Ameriprise Financial Services, Inc.
Date:July 23, 2018
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
Ameriprise agreed to pay $115,000 in settlement of allegations it failed to supervise sales of securities resulting in sales to unsuitable investors.
Level of Government:state
Action Type:agency action
Agency:California Department of Business Oversight
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Minnesota
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
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