AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

Regulator action

United States. Named in 8 sanctions listings.

Sanctions and listings8

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100216012-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: American Enterprise Investment Services Inc. Respondent Broker-Dealer CRD No. 26506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, American Enterprise Investment Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2010021601201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
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 2010025157301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050014557-02 To: Department of Enforcement NASD Re: American Enterprise Investment Services Inc. Member (CRD No. 26506) Pursuant to Rule 9216 of the NASD Code of Procedure, American Enterprise Investment Services 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 accepted, NASD will not bring
Reference 2005001455702data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/03/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007117801 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: American Enterprise Investment Services Inc. Member (CRD No. 26506) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, American Enterprise Investment Services Inc. (American Enterprise) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of the condition that, if accepted, FINRA will
Reference 2007007117801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2080141767-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: American Enterprise Investment Service Inc., Respondent Broker-Dealer CRD No 26506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, American Enterprise Investment Services Inc. ("the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2008014176701finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2013K4723 r NO20100225319-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: American Enterprise Investment Services Inc., Respondent Broker-Dealer CRD No. 26506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, American Enterprise Investment Services Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the
Reference 2010022531901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050097 TO: Department of Market Regulation NASD RE: American Enterprise Investment Services, Inc., Respondent Broker-Dealer CRD No. 26506 Pursuant to Rule 9216 of NASD Code of Procedure, American Enterprise Investment Services, Inc. ("IDSI" the "firm") 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
Reference CLG050097finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032242001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: American Enterprise Investment Services, Inc., Respondent Broker-Dealer CRD No. 26506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, American Enterprise Investment Services, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC') for the purpose of proposing a set
Reference 2012032242001data-portal.finra.org finra.org

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