JANIS LEE DUNWORTH is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 300 CORPORATE PKWY, SUITE 216N, AMHERST, NY, 14226.
JANIS LEE DUNWORTH has worked at MML INVESTORS SERVICES, LLC since August 05, 2008
Disclosure History
JANIS LEE DUNWORTH has 2 Disclosure Event(s).
Date: September 23, 2011 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: MY HUSBAND'S JOB CHANGED 2 YEARS AGO AND HIS INCOME CHANGED DRASTICALLY.
Date: March 18, 2008 Category: Employment Separation After Allegations Firm Name: M&T SECURITIES, INC. Termination Type: Discharged Allegations: REGISTERED REPRESENTATIVE WAS TERMINATED FOR VIOLATION OF FIRM POLICY. WITHOUT THE CUSTOMER'S PRIOR KNOWLEDGE OR AUTHORIZATION, THE REPRESENTATIVE SIGNED THE CUSTOMER'S NAME ON A SETTLEMENT CHANGE FORM IN ORDER TO EXPEDITE PROCESSING OF LINKING THE CUSTOMER'S BANK ACCOUNT TO HER BROKERAGE ACCOUNT.
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