SEC Issues Administrative Proceeding on American Express Financial Advisors
October 19, 2017
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 . . .
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 . . .