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SEC Fines Ameriprise $4.5 Million for Failing to Prevent Theft by...

The Securities and Exchange Commission has fined Ameriprise Financial Services Inc. $4.5 million for failing to safeguard retail investor assets from theft by five...

SEC Fines Ameriprise for Overcharging Retirement Account Clients

The Securities and Exchange Commission announced that Ameriprise Financial Services has agreed to settle charges for recommending and selling higher-fee mutual fund shares to...