Violation Tracker Individual Record
Company:
Ameriprise Advisor Services Inc.
Current Parent Company:
Ameriprise Financial
Penalty:
$48,411
Year:
2009
Date:
July 24, 2009
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
financial institution supervision failures
Level of Government:
state
Action Type:
agency action
Agency:
Rhode Island Department of Business Regulation
Civil or Criminal Case:
civil
Facility State:
Rhode Island
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 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.
