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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