Articles Posted in Ameriprise Financial

RiverSource Distributors Accused of Targeting Retail Ameriprise Financial Customers With VA Sales The US Securities and Exchange Commission (SEC) is ordering Ameriprise’s subsidiary brokerage firm, RiverSource Distributors, to pay a $5M fine for alleged violations involving variable annuities (VAs). The regulator contends that several RiverSource employees came up with a…

16 FINRA Arbitration Claims Have Been Brought Against Broker James Dunn In December 2021, Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) published a blog post announcing that we are investigating claims of investor losses involving ex-Ameriprise Financial Services broker James William Dunn.  At the time, according to…