SEC Issues Administrative Proceeding Involving Ameriprise Financial Services
August 15, 2018
August 15, 2018
WASHINGTON, Aug. 15 -- The Securities and Exchange Commission issued the following administrative proceeding (No. 3-18642) in the matter of Ameriprise Financial Services:
In the Matter of Ameriprise Financial Services, Inc., Respondent.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(e) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REME . . .
In the Matter of Ameriprise Financial Services, Inc., Respondent.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(e) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REME . . .