-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Id3yRcLqUYmYAWmZwv/Scj2+08QG434t6scuAft3VRp7v74v75Iq0k7CJ63JoyS4 A2+8EFzs3iUPxP14rbDdNQ== 0001104659-06-035762.txt : 20060517 0001104659-06-035762.hdr.sgml : 20060517 20060517171441 ACCESSION NUMBER: 0001104659-06-035762 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060515 ITEM INFORMATION: Other Events FILED AS OF DATE: 20060517 DATE AS OF CHANGE: 20060517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 06849833 BUSINESS ADDRESS: STREET 1: 50591 AMERIPRISE FINANCIAL CENTER STREET 2: GENERAL COUNSEL'S OFFICE CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-4471 MAIL ADDRESS: STREET 1: 50591 AMERIPRISE FINANCIAL CENTER STREET 2: GENERAL COUNSEL'S OFFICE CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 8-K/A 1 a06-12090_28ka.htm AMENDMENT TO FORM 8-K

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM 8-K/A

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):  May 15, 2006

 

AMERIPRISE FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-32525

 

13-3180631

(State or other jurisdiction

 

(Commission File Number)

 

(IRS Employer

of incorporation)

 

 

 

Identification No.)

 

 

 

 

 

55 Ameriprise Financial Center

 

 

Minneapolis, Minnesota

 

55474

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code:  (612) 671-3131

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o                 Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o                 Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o                 Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o                 Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 


 

Explanatory Note:  This Form 8-K/A is filed to correct two typographical errors in the Form 8-K that was filed on May 16, 2006.

 

Item 8.01                                             Other Events.

 

On May 15, 2006, a NASD panel issued a decision in a securities industry arbitration proceeding captioned Wayland Adams et al vs. David McFadden and Securities America, Inc. Securities America, Inc. is a wholly owned subsidiary of Ameriprise Financial, Inc. The arbitrators ruled against Securities America, Inc., and awarded the plaintiffs approximately $19.6 million.

 

Securities America disagrees with the arbitration panel’s decision and intends to file a motion to vacate the award.

 

If the award is sustained, we believe its impact, net of applicable reserves, would not be material to Ameriprise Financial’s earnings.

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

AMERIPRISE FINANCIAL, INC.

 

(REGISTRANT)

 

 

 

 

DATE: May 17, 2006

By:

/s/ John C. Junek

 

 

 

Name:

John C. Junek

 

 

Title:

Executive Vice President and General Counsel

 

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