JAMES WILLIAM DUMMERT

JAMES WILLIAM DUMMERT is currently employed as a Broker and/or Investment Adviser at H. BECK, INC. located at 2540 N. 130TH STREET, BROOKFIELD, WI, 53005.

JAMES WILLIAM DUMMERT has worked at H. BECK, INC. since October 14, 2010

Disclosure History

JAMES WILLIAM DUMMERT has 1 Disclosure Event(s).

Date: May 11, 2011
Category: Customer Dispute
Allegations: CLIENT RECEIVED A LETTER FROM DEARBORN, THE TRANSFERRING FIRM, INDICATING THAT THE SIGNATURE DID NOT MATCH THE SIGNATURE ON FILE.

Errors or Outdated Information?

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.

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