DOUGLAS IRA ZIDEL

DOUGLAS IRA ZIDEL is currently employed as a Broker and/or Investment Adviser at LASALLE ST SECURITIES, L.L.C. located at 620 E MAIN ST #6, Unit 3, FRISCO, CO, 80443.

DOUGLAS IRA ZIDEL has worked at LASALLE ST SECURITIES, L.L.C. since September 29, 2001

Disclosure History

DOUGLAS IRA ZIDEL has 2 Disclosure Event(s).

Date: April 25, 2014
Category: Regulatory
Initiated By: Florida Office of Financial Regulation
Allegations: The Florida Office of Financial Regulation found that Zidel Financial had 1) not sent contemporaneous fee invoices for direct deduction of fees between January 1, 2014 and July 25, 2014; and 2) not accurately disclosed either OFR's prior regulatory action of 2012 or custody as created by not sending invoices with fee deduction.
Resolution: Stipulation and Consent
Sanctions: Zidel Financial, the sole respondent, paid administrative fine of $13,500
Broker Comment: Douglas Zidel was not a respondent in this regulatory action, but was President of Zidel Financial at the time of this action. Mr. Zidel was not personally cited or fined.

Date: April 01, 2012
Category: Regulatory
Initiated By: Florida Office of Financial Regulation
Allegations: The Florida Office of Financial Regulation found that Zidel Financial had not filed financial statements within 90 days of year-end as required for 2009, 2010, and 2011.
Resolution: Stipulation and Consent
Sanctions: Zidel Financial, the sole respondent, agreed to an administrative fine of $3,000.
Broker Comment: Douglas Zidel was not a respondent in this regulatory action, but was President of Zidel Financial at the time of this action. Mr. Zidel was not personally cited or fined.

More Information

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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.

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