SEC
Whistleblower
Attorneys

August 15, 2018

Ameriprise Financial Services Inc.

Financial Fraud

SANCTION AMOUNT: $4500000

Defendants: Ameriprise Financial Services Inc.

In this case, assets from certain of the Respondent's retail investor clients were stolen by its representatives/personnel, and the Commission charged that it failed to safeguard said assets. The case was settled, including by payment of the listed sanction.

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