BRADFORD JOSEPH RINDLER is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 60 State St, Suite 2100, Boston, MA, 02109.
BRADFORD JOSEPH RINDLER has worked at AMERIPRISE FINANCIAL SERVICES, INC. since April 10, 2015
BRADFORD JOSEPH RINDLER has 2 Disclosure Event(s).
Date: October 03, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES THE SALE OF A 2006 VARIABLE ANNUITY CONTRACT WAS NOT A SUITABLE INVESTMENT FOR HER. CLIENT IS REQUESTING TO NEGATE THE CONTRACT FOR THE FULL AMOUNT WITHOUT THE IMPOSITION OF A WITHDRAWAL CHARGE. DAMAGES ARE UNSPECIFIED. Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER COMPLAINT.
Date: August 05, 1998 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT STARTING NOVEMBER1997 THE FORMER REGISTERED COLD CALLER MISREPRESENTED THE RISKSINVOLVED IN PURCHASING OIL SERVICE INDUSTRY STOCKS. THE CLIENTALSO ALLEGED THAT THE FORMER REGISTERED COLD CALLER FAILED TOFOLLOW THE CLIENTS INSTRUCTIONS AND INVESTED IN A NEW REIT. THECLIENT ALSO COMPLAINED ABOUT THE OVERALL PERFORMANCE IN THEACCOUNT. THE FIRM HAS DETERMINED THAT THE DAMAGES FROM THEALLEGED CONDUCT WOULD BE MORE THAN $5000. Broker Comment: N/ATHE ALLEGED ALLEGATIONS AGAINST ME ARE FALSE.THE ACCOUNT WAS NOT MANAGED BY ME, THE STOCKS IN THE CLIENTSPORTFOLIO WERE #1 RATED STOCKS BY BEAR, STEARNS & CO. MY NAMEWAS NOT ON THE ACCOUNT, I WAS ONLY A COLD CALLER. THE STOCKSWERE CONSISTENT WITH THE REST OF THE CLIENTS PORTFOLIO IN TERMSOF RISK AND SIZE. FUTHERMORE, THE DEPRECIATION IN STOCK PRICESOF ESV AND PKD TOOK PLACE AFTER I HAD LEFT ON APRIL 15, 1998.EVEN SO, THE CLIENT WAS NOT MINE, MY NAME WAS NOT ON THE CLIENTSTATEMENT, AND THE STOCK RECOMMENDATIONS WERE THERESPONSIBILITY OF THE BROKERS I WORKED FOR: RICHARD KAHN, DAVIDATALLAH, AND MICHAEL CASSA.
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