February 28, 2018

Ameriprise Financial Services Inc.

Trading and Pricing

SANCTION AMOUNT: Approximately $2,008,592.31

Defendants: Ameriprise Financial Services Inc.

Minnesota-based broker-dealer and investment adviser Ameriprise Financial agreed to settle charges for recommending/selling higher-fee mutual fund shares to retail retirement account customers, and for failing to provide them with sales charge waivers.

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