mickeyd
Give me a museum and I'll fill it. (Picasso) Give me a forum ...
$9,300,000 seems like a high penalty for mishandling only 3 clients.
http://www.investmentnews.com/news.cms?newsId=3307
NASD arbitration panel imposed a $9.3 million penalty on Ameriprise Financial Inc., stemming from a complaint that one of its stockbrokers mishandled three clients' savings by putting them in high-fee mutual funds, according to published reports.
http://www.investmentnews.com/news.cms?newsId=3307