MICHELE PALLAS DIENST

MICHELE PALLAS DIENST is currently employed as a Broker and/or Investment Adviser at EQUITY SERVICES, INC. located at ONE NATIONAL LIFE DRIVE, MONTPELIER, VT, 05604.

MICHELE PALLAS DIENST has worked at EQUITY SERVICES, INC. since January 25, 2008

Disclosure History

MICHELE PALLAS DIENST has 1 Disclosure Event(s).

Date: August 04, 2009
Category: Regulatory
Initiated By: STATE OF VERMONT DEPARTMENT OF BANKING, INSURANCE, SECURITES AND HEALTH CARE ADMINISTRATION
Allegations: THE REPRESENTATIVE MISTAKENLY CERTIFIED ON HER INSURANCE LICENSE RENEWAL APPLICATION THAT SHE HAD SATISFIED THE CONTINUING EDUCATION REQUIREMENTS
Resolution: Stipulation and Consent SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $250.00

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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