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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for DENNIS BARRY MANDEL, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More