FILIP EARL WIELAND

FILIP EARL WIELAND is currently employed as a Broker and/or Investment Adviser at PLANMEMBER SECURITIES CORPORATION located at 198 ATLANTIC BLVD, KEY LARGO, FL, 33037.

FILIP EARL WIELAND has worked at PLANMEMBER SECURITIES CORPORATION since August 04, 2008

Disclosure History

FILIP EARL WIELAND has 1 Disclosure Event(s).

Date: February 05, 1990
Category: Customer Dispute
Allegations: 2/3/90 DOCKET 91-1171 AC -ACTS AND OMISSIONS ALLEGING NEGLIGENCE,BREACH OF FIDUCIARY DUTY.
Damage Amount Requested: $10,000.00
Settlement Amount: $10,000.00
Broker Comment: $10,000 SETTLEMENT PAID BY GLEN FED AND RELEASEDOF ALL CLAIMS AGAINST FLIP WIELAND AND GLENFED.THIS CASE NEVER WENT TO ARBITRATION AND WASSETTLED WITHOUT PROCEEDINGS. CUSTOMER TRANSACTIONS WERE FULLYDISCLOSED WITH CUSTOMER HAVING FULL KNOWLEDGE OF SALES CHARGESAND FLUCTUATING SHARE PRICE. ALL EXCHANGES WERE DONE ON ANUNSOLICITED BASIS WITH CUSTOMER PRESENT WHEN EXCHANGES WEREEXECUTED BY PHONE.

More Information

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 FILIP EARL WIELAND, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.