Business
Ameriprise Financial Inc., the former brokerage unit of American Express Co., said a company laptop computer that contained information on about 158,000 customers had been stolen.
Jan. 26, 2006
Ameriprise Financial Inc. agreed to pay $25,000 to settle an investigation by Massachusetts into whether customers’ privacy was breached when a laptop computer containing personal data was stolen from an employee.
Dec. 12, 2006
Ameriprise Financial Inc., the former brokerage unit of American Express Co., agreed Thursday to pay $57.3 million to settle allegations that it took kickbacks from mutual funds and allowed improper trading of fund shares.
Dec. 2, 2005
Ameriprise Financial Inc. must pay $1.25 million to settle an enforcement action brought by regulators over sales of Section 529 college savings plans amid a wide-ranging inquiry into the popular tax-advantaged accounts, regulators said Wednesday.
Oct. 27, 2005
Culture Monster Blog
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Oct. 14, 2008
Wells Fargo & Co. and Ameriprise Financial Inc. adopted requirements that their board directors must win the majority of the votes cast by shareholders.
Nov. 29, 2006
Three retired pilots alleged that a broker at Securities America put them into unsuitable mutual funds.
Dec. 28, 2006
American Express Co., the fourth-largest U.S. credit card issuer, approved the spinoff of its 12,000-broker financial advisory unit, the company said Wednesday.
Aug. 25, 2005
Orange County Visionaries – Trends, Updates and Visionaries
Douglas Ireland is a highly respected market manager overseeing Wedbush Securities’ offices in Newport Beach, San Diego, Scottsdale, and Honolulu.
Oct. 15, 2023
A securities-industry arbitration panel has awarded $22 million to a group of Exxon Mobil Corp. retirees who accused brokerage firm Securities America Inc. of improperly steering them into high-risk investments.
May 18, 2006