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The firm has settled with FINRA over charges that it failed to investigate suspicious fund transfers by an Ameriprise representative.
Ameriprise Financial Services and the Financial Industry Regulatory Authority (FINRA) have settled an ongoing case in which Ameriprise was charged with failing to act on red flags regarding the theft of “more than $370,000 from five customer brokerage accounts by one of its registered representatives,” according to FINRA officials. The settlement involves a fine of...
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