DENNIS VINCENT RIORDAN is currently employed as a Broker and/or Investment Adviser at WYNSTON HILL CAPITAL, LLC located at 40 Rector St, 10th Floor, New York, NY, 10006.
DENNIS VINCENT RIORDAN has worked at WYNSTON HILL CAPITAL, LLC since June 20, 2017
Date: February 18, 2013 Category: Customer Dispute Allegations: EXCESSIVE TRADING IN UNSUITABLE INVESTMENTS Damage Amount Requested: $138,000.00
Date: September 12, 2012 Category: Customer Dispute Allegations: FAILURE TO FOLLOW INSTRUCTIONS Damage Amount Requested: $60,000.00 Settlement Amount: $14,000.00 13-00473
Date: September 10, 2007 Category: Criminal
Date: April 19, 2007 Category: Criminal Charges: 1192.3 OPERATING MOTOR VEHICLE UNDER INFLUENCE OF DRUG OR ALCOHOL, 2ND ARREST WITHIN 10 YEARS, CLASS E FELONY Disposition: Amended Amended Charges: 1192.3 DRIVING WHILE INTOXICATED Amended Charge Type: MISDEMEANOR Amended Charge Amended Charge Disposition: Pled guilty Broker Comment: THE APPLICANT NEVER REPORTED THE INCIDENT THINKING THAT IT WAS A MISDEMEANOR DWI. DUE THE APPLICANTS PREVIOUS DWI ARREST WITH IN A 10 YEAR PERIOD, THE ARREST WAS CLASSIFIED AS A FELONY
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