The Banksters
0x3…6f4
ERC721
NASD ordered Ameriprise Financial Services, Inc. To pay a fine of $500,000 for failing to adequately supervise the firm's sales of 529 plans. NASD also ordered the firm to pay approximately $750,000 to compensate more than 500 customer accounts disadvantaged by those supervisory failures.
Name
1477
Owner
0xb394F1aa30Ba874df3Ae6097bF4c2474b2d8F3AC
ID#1477
Rarity
X-LO:82%
Parent Company
Ameriprise Financial
EX:1%
Company
Ameriprise Financial Services, Inc.
EX:1%
Violation
Financial Market Violations
X-HI:14%
Penalty
$1,250,000.00
EX:MAX
Year
2005