Search for: "Ameriprise Financial Inc."
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21 Mar 2011, 9:01 am
Royal Furgeson Jr. centered in on the relationship between Securities America and its parent company, Ameriprise Financial Inc. [read post]
13 Mar 2011, 3:46 pm
Ameriprise Financial, Inc., the parent company of the brokerage firm Securities America, has agreed to pay $27 million to settle claims brought by the firm's customers who purchased private placement investments in Medical Capital and Provident Royalties, two companies which were accused of engaging in a Ponzi scheme by the Securities and Exchange Commission ("SEC"). [read post]
9 Mar 2011, 8:15 am
In February 2010, the Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc. [read post]
7 Mar 2011, 4:56 pm
7 Mar 2011, 12:17 pm
Securities America is owned by Ameriprise Financial Services, which reported a profit of $1.1 billion in 2010 on revenue of nearly $10 billion. [read post]
21 Feb 2011, 5:02 pm
Securities America, which is owned by Ameriprise Financial Inc., sold about $700 million of private placements issued by Medical Capital Holdings and $18 million of shares in Provident Royalties. [read post]
12 Feb 2011, 12:37 pm
Ameriprise Financial Servs., Inc., No. 07 Civ. 2655, 2008 WL 974045, at *5 (N.D.Ohio Apr. 7, 2008); Chapman v. [read post]
11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
17 Dec 2010, 9:00 am
Some of them are the Ameriprise Financial Services, Wells Fargo Advisors, LPL Financial, and Edward Jones, Charles Schwab, Chase Investment Services, Morgan Stanley Smith Barney, Raymond James, Merrill Lynch and some others. [read post]
3 May 2010, 8:56 pm
Ameriprise Financial Services Inc., with a $28,511,100 average AUM/rep 8. [read post]
15 Apr 2010, 9:00 pm
Ekweani v Ameriprise Fin, Inc,___F.Supp.2d___(D. [read post]
6 Apr 2010, 7:18 am
Then, on April 5, 2010, after The Pomerantz Monitor went to press, the Supreme Court sent a lawsuit against Ameriprise Financial Inc. over alleged overcharging for mutual fund fees back to the Eighth Circuit, finding that the Gartenberg fee dispute standard that was upheld in Jones v. [read post]
29 Mar 2010, 9:16 am
Her Ameriprise/ Securities America broker persuaded her to invest more than $1 million in private-placement securities issued by Medical Capital Holdings Inc. and Provident Royalties LLC in 2007. [read post]
22 Mar 2010, 12:38 pm
GunnAllen Financial Inc., a Florida-based broker dealer, can no longer trade on behalf of customers because it has fallen below mandatory net capital requirements, a company spokeswoman has confirmed. [read post]
23 Feb 2010, 3:00 pm
On February 16, 2010, Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Financial) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of a unique and relatively new investment called reverse convertible notes to retail customers. [read post]
23 Feb 2010, 3:00 pm
On February 16, 2010, Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Financial) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of a unique and relatively new investment called reverse convertible notes to retail customers. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
