MICHAEL LAILE LANDAUER is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 6176 S HARRISON DR, CENTENNIAL, CO, 80121.
MICHAEL LAILE LANDAUER has worked at CETERA ADVISORS LLC since July 15, 1992
MICHAEL LAILE LANDAUER has 2 Disclosure Event(s).
Date: August 15, 1979 Category: Employment Separation After Allegations Firm Name: DEAN WITTER/REYNOLDS INC. Termination Type: Permitted to Resign Allegations: Not ProvidedDIRECT INVOLVEMENT BY ME IN A CROSS OF COMMONSTOCK OF JAMESBURY CORP (15,000 SHRS) IN WHICH ONE OF MYCLIENTS WAS A SELLER OF 15,000 SHRS AND 15-20 CLIENTS WEREBUYERS ON THE OTHER SIDE OF THE CROSS. SEVERAL BUYERS HAD GIVENME CONDITIONAL OR SUBJECT ORDERS TO BUY AND THE REST, FIRMORDERS TO BUY. BOTH FIRM AND CONDITIONAL ORDERS WERE ENTERED,VIOLATING THE NYSE RULE THAT ALL ORDERS ENTERED FOR EXECUTIONBY A R.R. MUST BE FIRM ORDERS. SEVERAL OF THE CONDITIONALORDERS THAT WERE NOT TO BE GONE THROUGH WITH PURSHASE, TOOKSEVERAL FOR THE FIRM TO BUST AND DELETE FROM CUSTOMERS ACCTS. Broker Comment: TERMINATION ON 8/15/79 FROM DEAN WITTER/REYNOLDS.FOR THE INFRACTION OF THE RULES, I WAS TERMINATEDBY DEAN WITTER/REYNOLDS; BUT I WAS NEVER SANCTIONED, FINED,CENSURED OR REPRIMANDED BY ANY REGULATORY SECURITIES AGENCYNOR HAVE I EVER RECEIVED ANY CORRESPONDENCE FROM EITHER AREGULATORY BODY OF BY DEAN WITTER/ REYNOLDS.
Date: November 30, 1978 Category: Regulatory
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