AMERIPRISE FINANCIAL SERVICES INC.

12/10/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000682901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ameriprise Financial Services, Inc., Respondent BD. No. 6363 Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent, Ameriprise Financial Services, Inc. ("Ameriprise"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2005000682901data-portal.finra.orgfinra.org

04/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013648002 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Ameriprise Financial Services, Inc. CRD No. 6363 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ameriprise Financial Services, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violation

Reference 2008013648002data-portal.finra.orgfinra.org

04/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029100301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ameriprise Financial Services, Inc. CRD No. 6363 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ameriprise Financial Services, Inc. ("Ameriprise") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2011029100301finra.orgdata-portal.finra.org

02/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011933101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H&R Block Financial Advisors, Inc. (n/k/a Ameriprise Financial Services, Inc.), Respondent CRD No. 5979 Andrew W. MacGill, Respondent General Securities Representative CRD No. 1302000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H&R Block Financial Advisors, Inc. (n/k/a Ameriprise Financial Services, Inc.)

Reference 2007011933101data-portal.finra.orgfinra.org

07/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009442501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H&R Block Financial Advisors, Inc. (n/k/a Ameriprise Financial Services, Inc.) [CRD No. 5979] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H&R Block Financial Advisors, Inc. ("H&R BLOCK FINANCIAL ADVISORS" or the "Firm") (n/k/a Ameriprise Financial Services. Inc.) submits this Letter of Acceptance, Waiver and

Reference 2007009442501data-portal.finra.orgfinra.org

10/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AMERIPRISE FINANCIAL SERVICES, INC. (BD No. 6363), and DAVID B. TYSK (CRD No. 1782289), Respondents. Disciplinary Proceeding No. 2010022977801 Hearing Officer - MC. EXTENDED HEARING PANEL DECISION. October 13, 2014. By altering computer notes of customer contacts after the customer complained about the suitability of a recommendation, and failing to inform his firm of the alterations when he

Reference 2010022977801data-portal.finra.orgfinra.org

12/12/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A20050100 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H & R Block Financial Advisors, Inc. (CRD No. 5979) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, H & R Block Financial Advisors, Inc. (HRBFA or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference E8A2005010002data-portal.finra.orgfinra.org

03/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025157301 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Ameriprise Financial Services, Inc. CRD No. 6363 and American Enterprise Investment Services Inc. CRD No. 26506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ameriprise Financial Services, Inc. ("AFSI") and American Enterprise Investment Services Inc. ("AEIS") (collectively "Respondents") submit this Letter of

Reference 2010025157301finra.orgdata-portal.finra.org

06/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070071181 Department of Enforcement FINRA Ameriprise Financial Services, Inc. Member CRD No. 6363 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Ameriprise Financial Services, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will

Reference 2007007118101data-portal.finra.orgfinra.org

09/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040269301 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Ameriprise Financial Services, Inc., Respondent Member Firm BD No. 6363 Pursuant to FINRA Rule 9216 of FINRA 's Code of Procedure, Ameriprise Financial Services, Inc. ("Ameriprise", "Respondent," or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2014040269301data-portal.finra.orgfinra.org

12/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043104601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ameriprise Financial Services, Inc. CRD No. 6363 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ameriprise Financial Services, Inc. ("Ameriprise" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014043104601data-portal.finra.orgfinra.org

06/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039843501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ameriprise Financial Services, Inc. CRD No. 6363 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ameriprise Financial Services, Inc. ("AFSI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2014039843501data-portal.finra.orgfinra.org

04/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050009019-01 To: Department of Enforcement NASD Re: Ameriprise Financial Services, Inc. Member (CRD No. 6363) Pursuant to NASD Procedural Rule 9216, Ameriprise Financial Services, Inc. ("Ameriprise"), f/k/a American Express Financial Advisors, Inc., submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

Reference 2005000901901finra.orgdata-portal.finra.org