Ameriprise Financial Services

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  FINRA Slaps Ameriprise for Rep’s Wire Transfer Fraud

  By Melanie Waddell, AdvisorOne  |  March 4, 2013

  FINRA said Ameriprise and its clearing firm missed several red flags, including transfers to accounts in the broker's name.

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  Berthel Fisher Wins Arbitration in Real Estate Case

  By Marlene Y. Satter, AdvisorOne  |  April 19, 2012

  Claims by three accredited investors against the broker-dealer Berthel Fisher were dismissed by a FINRA arbitration panel on April 9 after proceedings that stretched out over several months.

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  Learning to Speak Your Client’s Language

  By Olivia Mellan  |  February 1, 2012

  The best financial advisors know how to tune into each client’s money history and individual story.

• How Advisors Can Deal With Client Cultural Differences

  By Olivia Mellan  |  December 27, 2011

  Some advice for advisors on how to interact with clients who different cultural perspectives.

• Finding Inflation Hedges in Retirement Income Planning: IA Retirement Plan Advisor for July 2010

  By Savita Iyer-Ahrestani, AdvisorOne, Savita Iyer-Ahrestani, AdvisorOne  |  July 14, 2010

  Whether it's near or far off, a new focus on protecting retirees against inflation

• A Self-Imposed Barrier for Advisors Serving South Asian Clients

  By Savita Iyer-Ahrestani, AdvisorOne, Savita Iyer-Ahrestani, AdvisorOne  |  February 1, 2010

  There are just two issues that advisors who are interested in serving clients from the South Asian diaspora need to understand: Family and community. They...

• B/D News

  By Staff Writer  |  August 1, 2009

  Ameriprise Financial Services has agreed to pay the SEC $17.3 million to settle an enforcement action that the Commission brought against the Minneapolis-based broker/dealer. The...

• Directional Advisor

  By Robert F. Keane  |  June 1, 2009

  Bob Whalen spent the first 16 years of his career in the American Express family, ending up as a group VP at Ameriprise Financial Services...

• Ameriprise, Three Equity Groups Reportedly Bidding for AIG B-Ds (March 6, 2009)

  By Janet Levaux, AdvisorOne  |  March 6, 2009

  By the end of March, Ameriprise Financial Services and three private-equity firms are expected to submit final bids for AIG's three broker-dealers, according to TheDeal.com.