WALTER THOMAS DWYER is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 8101 WASHINGTON LANE, 1ST FLOOR, WYNCOTE, PA, 19095-1618.
WALTER THOMAS DWYER has worked at JANNEY MONTGOMERY SCOTT LLC since February 26, 1999
Disclosure History
WALTER THOMAS DWYER has 1 Disclosure Event(s).
Date: August 22, 2002 Category: Customer Dispute Allegations: ALLEGATIONS:"tUNAUTHORIZED TRADING, MISREPRESENTATION, SUITABILITY, FAILURE TO SUPERVISE, BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, VIOLATION OF PENNSYLVANIA UNFAIR TRADE PRACTICES, VIOLATION OF SECTION 403.010 OF PENNSYLVANIA SECURITIES ACT WITH STATED COMPENSATORY DAMAGES IN THE AMOUNT OF $73,000.00. Damage Amount Requested: $73,000.00 Settlement Amount: $15,000.00 Broker Comment: SETTLED VIA SETTLEMENT AGREEMENT AND PAYMENT TO CUSTOMER IN THE AMOUNT OF $15,000.00.
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