Violation Tracker Individual Record
Company:
Ameriprise Financial Services, Inc.
Current Parent Company:
Ameriprise Financial
Penalty:
$3,400,000
Year:
2008
Date:
April 9, 2008
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
The Bureau alleged Ameriprise failed to live up to its obligations under a 2005 settlement (at which time it was known as American Express Financial Advisors).
Level of Government:
state
Action Type:
agency action
Agency:
New Hampshire Bureau of Securities Regulation
Civil or Criminal Case:
civil
Facility State:
New Hampshire
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
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
