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“Ameriprise agreed to pay $4.5 million to settle charges that it failed to safeguard clients’ money after five registered representatives stole more than $1 million over a four-year period, the SEC says.
The firm of 9,906 employee and independent advisors did not put reasonable policies and procedures in place to protect the money, the regulator says. The four independent advisors and one paraplanner committed “numerous fraudulent acts,” including forging documents, according to the SEC’s order.”