David James Dinter is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 4231 GROVE AVENUE, GURNEE, IL, 60031.
David James Dinter has worked at EDWARD JONES since March 29, 1999
David James Dinter has 2 Disclosure Event(s).
Date: December 03, 2004 Category: Customer Dispute Allegations: ALLEGATIONS OF VIOLATION OF NYSE RULE 405, NASD RULE 2310, FAILURE TO FOLLOW THE PROVISIONS OF THE USA PATRIOT ACT SECTION 326, AND FAILURE TO ENFORCE JONES' POLICY OF NOT ALLOWING POAS TO OPERATE TRUSTS, WHICH LED TO A SERIES OF UNAUTHORIZED TRANSACTIONS AND WITHDRAWALS OF APPROXIMATELY $1.6 MILLION FROM PLAINTIFF'S ACCOUNT. (AMOUNT CLAIMED: THAT THE COURT IMPOSE A CONSTRUCTIVE TRUST AGAINST 46,960 SHARES OF ABBOTT STOCK ALLEGEDLY IN THE POSSESSION OF THE DEFENDANTS). Settlement Amount: $550,000.00 Broker Comment: SETTLED FOR $550,000 FROM JONES PLUS $250,000 FROM NOTHWAY BANK.
Date: January 21, 1999 Category: Customer Dispute Allegations: APPROXIMATELY $8000 LOSS. CUSTOMER ALLEGESTHAT HE THOUGHT HE WAS INVESTING $45000 IN A MONEY MARKETACCOUNT NOT A MUTUAL FUND. THIS OCCURRED WHILE EMPLOYED BYCITICORP INV. SERVICES Damage Amount Requested: $8,000.00 Broker Comment: CITICORP INVESTMENT SERVICES CONCLUDED AFTER ATHOROUGH REVIEW THAT I PROPERLY FOLLOWED THE CUSTOMERSINSTRUCTIONS AND MADE ALL PROPER DISCLOSURES WITH RESPECT TOTHE INVESTMENT IN QUESTION. THEREFORE, WOULD NOT OFFER TOCOMPENSATE THE CUSTOMER FOR ANY LOSS OF PRINCIPAL DUE TO MARKETFLUCTUATION.NOT PROVIDED
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