UPDATE 1-U.S. SEC charges Ameriprise for not safeguarding client assets
14 Aug UPDATE 1-U.S. SEC charges Ameriprise for not safeguarding client assets
Posted at 15:48h
in
News
by KMFSLLP
Ameriprise Financial Services
Inc will pay $4.5 million to settle charges that it
failed to safeguard client assets after five of its
representatives allegedly stole more than $1 million, the U.S.
Securities and Exchange Commission said on Wednesday.
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