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BAKAS v. AMERIPRISE FINANCIAL SERVICES, INC.

Civ. No. 09-1263 (RHK/SRN).

651 F.Supp.2d 997 (2009)

Anastasia BAKAS, on behalf of herself and all others similarly situated, Plaintiff, v. AMERIPRISE FINANCIAL SERVICES, INC., f/k/a American Express Financial Advisors Inc., and Does 1-20, Defendants.

United States District Court, D. Minnesota.

September 3, 2009.

Attorney(s) appearing for the Case

Jon E. Drucker, Law Offices of Jon E. Drucker, PC, Beverly Hills, CA, Russell M. Spence, Jr., The Spence Law Firm, Minneapolis, MN, for Plaintiff.

Peter W. Carter, Thomas P. Swigert, Gretchen A. Agee, Dorsey & Whitney LLP, Minneapolis, MN, for Defendant Ameriprise Financial Services, Inc.

MEMORANDUM OPINION AND ORDER

RICHARD H. KYLE, District Judge.

INTRODUCTION

Plaintiff Anastasia Bakas has sued her former investment adviser,1 Defendant Ameriprise Financial Services, Inc. ("Ameriprise"), alleging that it breached its investment-services agreements with her and violated the Investment Advisers Act of 1940, 15 U.S.C. § 80b-1 et seq. (the "1940 Act"). Ameriprise now moves to compel arbitration...

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