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: Securities Law Prof Blog

Massachusetts Securities Division Alleges Ameriprise Subsidiary Failed to Disclose Risks in Private Placements

By Securites Lawprof

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The Massachusetts Securities Division brought an administrative action against Securities America, Inc., a subsidiary of Ameriprise Financial, alleging that from 2003-2008 the broker-dealer, acting as placement agent for Reg D offerings on behalf of Medical Capital Holdings Inc., failed to...

Full post as published by Securities Law Prof Blog on January 26, 2010 (boomark / email).

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