Ameriprise Financial

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  1. Articles

    SEC settlement ends saga for former Ameriprise exec who aided SAC Capital insider case

    A former Ameriprise Financial Inc. money manager who pleaded guilty to securities fraud must pay $390,103, a figure roughly equal to the gains regulators said her funds earned based on an insider tip about Yahoo.Law enforcement officials said Reema D. Shah, a tech-stock picker for Ameriprise

  2. Articles

    Raymond James, Ameriprise deliver higher profits, helped by adviser growth, wealth management

    Raymond James and Ameriprise reported double-digit profit gains, with Raymond James posting record quarterly net income. Here's how they did it.

  1. Articles

    Ex-Ameriprise adviser pleads guilty to stealing nearly $1 million

    Susan Walker admitted to accusations she used $980,000 of client assets to pay for personal expenses, including vacations and private school tuition.

  2. Articles

    Ameriprise advice unit reports 29% increase in pretax profit

    Ameriprise Financial Inc.'s advice and wealth management unit reported pretax operating earnings of $194 million for the three months ended in June, an increase of 29% over the same period last year. The increase reflected “robust revenue growth and expense controls,” the company said in a

  3. Articles

    Ameriprise ordered to deliver Columbia funds chief's journals to ex-staff

    In Ameriprise case, federal judge rules chief executive of the firm's mutual fund unit must hand over documents in lawsuit over retirement plan's use of proprietary funds.

  4. Articles

    Indie reps happier at work than employee advisers: J.D. Power

    Independent advisers continue to be happier at work than their colleagues who are employees of broker-dealers but the gap in job satisfaction among the two groups is narrowing. See how your firm ranks

  5. Articles

    2Q a mixed bag for big firms

    The second quarter was a mixed bag for three financial services industry giants that posted earnings last week. Fighting bond market head winds, Raymond James Financial Inc. posted modest profit gains for its fiscal third quarter ended June 30, just missing analyst estimates. Net revenue of $1.11

  6. Articles

    Five IBDs in $7M settlement over nontraded-REIT sales

    Sales of nontraded real estate investment trusts once again have come under the scrutiny of securities regulators as William Galvin, the secretary of the Commonwealth of Massachusetts, last week announced settlements with five leading independent broker-dealers to make $6.1 million in restitution

  7. Articles

    Ameriprise 401(k) lawsuit set for January court date

    Ameriprise workers filed suit in 2011, claiming firm profited from costly plan options

  8. Articles

    Can ETFs plug the river of outflows at Columbia Funds?

    Fund firm plans to offer 17 active exchange-traded funds; weighed down by sagging interest in mutual funds

  9. Articles

    Two Ameriprise advisers traded on info gleaned from AA meeting: SEC

    The SEC claims two Ameriprise advisers made a killing by trading on inside information about an upcoming merger. Where did they come across the info? At an Alcoholics Anonymous meeting, says the commission.

  10. Articles

    Guggenheim said to weigh bid for Deutsche Bank's fund biz

    Guggenheim Partners LLC is among the companies preparing to bid for Deutsche Bank AG's asset-management divisions.

  11. Articles

    Ameriprise eyes recruiting boost from 'wirehouse fatigue'

    Despite a tumultuous year, Ameriprise shifted into 'aggressive growth mode' with a 40% hike in recruiting.

  12. Articles

    Ameriprise workers sue over company's own 401(k) funds

    Claim employer put retirement assets in proprietary funds that incurred $20M in excess costs

  13. Articles

    New Ameriprise commercials take more conservative tone

    Tommy Lee Jones is Ameriprise Financial's new pitchman in ads that take a more conservative tone