PAUL CLEMENT WINTERMANTEL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4940 E RAY RD STE 11, PHOENIX, AZ, 85044.
PAUL CLEMENT WINTERMANTEL has worked at LPL FINANCIAL LLC since September 27, 2013
Disclosure History
PAUL CLEMENT WINTERMANTEL has 1 Disclosure Event(s).
Date: April 28, 2009 Category: Customer Dispute Allegations: AZ RESIDENT PARTICIPATED IN A SEPERATELY MANAGED ACCOUNT WITH 1/3 OF HER LIQUID NET WORTH. AFTER HAVING HER 2007 AND 2008 TAXES PREPARED, SHE WAS ADVISED THAT HER ACCOUNT WAS EXCESSIVELY TRADED BY HER CPA. SHE HAS REQUESTED REIMBURSEMENT OF ADVISORY FEES AND LOSSES TOTALING $12,412.32. (04/20/2007 - 04/24/2008) Damage Amount Requested: $12,412.32 Broker Comment: THE FIRM'S REVIEW DID NOT REVEAL ANY EVIDENCE OF WRONGDOING. THE MATTER WAS DENIED IN ITS ENTIRETY.
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