Financial Services

The administrative proceeding commenced by the Director of the Washington State Department of Financial Institutions against Countrywide Financial Corporation remains pending.

The Director alleges, among other things, that the Company did not provide borrowers with certain required disclosures and that…

Ameriprise Financial, Inc. continues to face claims by customers relating to suitability, disclosures, supervision and certain other sales practices.

The Company previously reported two adverse arbitration awards issued in 2006 by the panels of the Financial Industry Regulatory Authority formerly…