Violation Tracker Individual Record
Company:Ameriprise Financial Services, Inc.
Date:April 9, 2008
Offense Group:financial offenses
Primary Offense:investor protection violation
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:
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