Thursday - March 28, 2024
SEC Issues Administrative Proceeding on American Express Financial Advisors
October 19, 2017
WASHINGTON, Oct. 19 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-12115) involving American Express Financial Advisors on order authorizing the transfer to the U.S. Treasury of the remaining funds:

In the Matter of

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (now known as AMERIPRISE FINANCIAL SERVICES, INC.),

Respondent.

ORDER AUTHORIZING THE TRANSFER TO THE U.S. TREASURY OF THE REMAINING FUND . . .

Targeted News Service Document Request Form

This document is available to you by e-mail if you complete the form below with relevant information. There may be a fee for this article or ongoing service of similar materials. We will be in touch shortly.

Name:
What's your
Affiliation
Government Newspaper / Media Business
Public Policy Individual / Student Educators
Email:
Phone:
Organization, if any:
State/Country you are in:
Additonal questions
or comments:

Click here for more information about our products

Click here for more information about our products