BRAD LEE RUNNING

BRAD LEE RUNNING is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1850 AUSTIN RD, STE 104, OWATONNA, MN, 55060-4497.

BRAD LEE RUNNING has worked at AMERIPRISE FINANCIAL SERVICES, INC. since September 18, 2001

Disclosure History

BRAD LEE RUNNING has 4 Disclosure Event(s).

Date: March 11, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGED THE ADVISOR PURCHASED A MUTUAL FUND IN SEPTEMBER 2008 WITHOUT HER AUTHORIZATION.
Damage Amount Requested: $6,101.31

Date: September 24, 2008
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THE INVESTMENT RECOMMENDATIONS OF HER FORMER FINANCIAL ADVISOR WERE NOT APPROPRIATE FOR HER FINANCIAL CIRCUMSTANCES.
Damage Amount Requested: $5,000.00
Broker Comment: THE FIRM FOUND THE ADVISOR'S INVESTMENT RECOMMENDATIONS WERE APPROPRIATE FOR THE CLIENT'S STATED GOALS AND OBJECTIVES.

Date: March 29, 2004
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED IT WAS INAPPROPRIATE FOR HER TO PURCHASE B SHARES OF MUTUAL FUNDS
Damage Amount Requested: $5,000.00
Broker Comment: THE CLASS B SHARE MUTUAL FUNDS THE CLIENT PURCHASED IN JANUARY & FEBRUARY MAY NOT HAVE BEEN SUITABLE FOR THE CLIENT.THE CLIENT CHOSE NOT TO ACCEPT OUR OFFER TO REFUND THE CDSC SHE INCURRED AS A RESULT OF TRANFERRING THE FUNDS.

Date: March 14, 2001
Category: Regulatory

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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