Trace evidence? Ameriprise took years to boot alleged forger, Finra says
Finra censures Amerprise after the firm purportedly discovered a broker who was allegedly forging client signatures -- but failed to boot him out of the company for over two years.
In an alleged failure of its compliance systems, Ameriprise Financial Services Inc. became aware of a broker purportedly forging client documents — but then took almost two-and-a-half years to investigate and boot the broker from the firm.
According to an April letter of acceptance, waiver a
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