DENNIS BARRY MANDEL

DENNIS BARRY MANDEL is currently employed as a Broker and/or Investment Adviser at REGAL SECURITIES, INC. located at 250 WISCONSIN AVE., SUITE 1500, MILWAUKEE, WI, 53202.

DENNIS BARRY MANDEL has worked at REGAL SECURITIES, INC. since May 23, 2005

Disclosure History

DENNIS BARRY MANDEL has 5 Disclosure Event(s).

Date: April 08, 2002
Category: Customer Dispute
Allegations: UNAUTHORIZED TRADING
Broker Comment: NO SPECIFIC ALLEGED COMPENSATORY DAMAGES STATED. NO ACTION TAKEN IN CUSTOMER COMPLAINT.

Date: May 21, 2001
Category: Customer Dispute
Allegations: INTENTIONAL MISREPRESENTATION, NEGLIGENT MISREPRESENTATION, NEGLIGENCE, BREACH OF FIDUCIARY DUTY,CHURNING AND VIOLATION OF THE WISCONSIN UNIFORM SECURITIES LAW.
Damage Amount Requested: $300,000.00
Settlement Amount: $105,000.00

Date: December 29, 1998
Category: Customer Dispute
Allegations: VIOLATION OF SECTIONS 10(B) AND 20 OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER, BREACH OF FIDUCIARY DUTY, VIOLATION OF NYSE "KNOW YOUR CUSTOMER RULES", INTENTIONAL MISREPRESENTATION/NEGLIGENT MISREPRESENTATION AND MISREPRESENTATION:STRICT RESPONSIBILITY.
Damage Amount Requested: $500,000.00
Settlement Amount: $42,500.00

Date: November 01, 1994
Category: Customer Dispute
Allegations: EXCESSIVE TRADING - UNSPECIFIED DAMAGES -
Settlement Amount: $60,000.00
Broker Comment: A SETTLEMENT WAS REACHED WITH A PAYMENT OF$60,000.00 TO THE CUSTOMERNOT PROVIDED

Date: December 01, 1980
Category: Employment Separation After Allegations
Firm Name: A.G. EDWARDS
Termination Type: Discharged
Allegations: NO FORMAL PROCEEDINGSDISCHARGED FOR MAKING UNSOLICITEDDISCRETIONARY TRADES WITH ONLY A VERBAL AGREEMENT BETWEENDENNIS MANDEL AND CUSTOMER
Broker Comment: DISCHARGEDA WRITTEN AGREEMENT WHICH IS REQUIRED-THEREFOREMR. MANDEL WAS DISCHARGED. THERE WERE NEVER FORMAL PROCEEDINGS. NO DISCRETIONARY TRADES WERE EXECUTED FOR ANY OTHER CLIENT.

More Information

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

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