FINRA Fines Ameriprise $850K For Supervisory Failures

FINRA Fines Ameriprise $850K For Supervisory Failures Posted on Thursday, September 22, 2016 at 9:05 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Ameriprise was fined $850,000 by FINRA because it failed to supervise one of its registered representatives. The Ameriprise representative served as a sales assistant and office manager when he or she converted $370,00 ...Read the full article