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
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.
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