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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