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Ameriprise to Pay Nearly $1.5M Over Annuity Switches: FINRA
News April 03, 2026 at 12:07 PM
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What You Need To Know
- Ameriprise will pay nearly $1.5 million for failing to supervise variability annuity exchanges with GLWB riders.
- The firm failed to provide sufficient guidance to registered principals about the exchanges.
- Ameriprise consented to FINRA's findings without admitting or denying them.
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