FINRA Fines Ameriprise and Clearing Firm $750,000 for Failing. – WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ameriprise financial services, Inc. and its affiliated clearing firm, American enterprise investment services Inc. (AEIS), $750,000 for failing to have reasonable supervisory systems in place to monitor wire transfer requests and the transmittal of customer funds to third-party accounts.
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