WALTER JOSEPH RODERER

WALTER JOSEPH RODERER is currently employed as a Broker and/or Investment Adviser at HARBOUR INVESTMENTS, INC. located at 245 W. ELMWOOD DR, SUITE 115, DAYTON, OH, 45459.

WALTER JOSEPH RODERER has worked at HARBOUR INVESTMENTS, INC. since May 31, 2011

Disclosure History

WALTER JOSEPH RODERER has 3 Disclosure Event(s).

Date: December 11, 2012
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES REGISTERED REPRESENTATIVE MISREPRESENTED A VARIABLE ANNUITY WHICH LED TO A PURCHASE IN SEPTEMBER OF 2007.
Damage Amount Requested: $79,453.91

Date: May 16, 2011
Category: Employment Separation After Allegations
Firm Name: SECURITIES AMERICA, INC.
Termination Type: Permitted to Resign
Allegations: REPRESENTATIVE FAILED TO FOLLOW FIRM POLICIES AND PROCEDURES RELATING TO CLIENT SIGNATURES.

Date: April 18, 2011
Category: Employment Separation After Allegations
Firm Name: KIPLINGER WEALTH ADVISORS
Termination Type: Discharged
Allegations: THE REPRESENTTAIVE FAILED TO FOLLOW FIRM POLICIES AND PROCEDURES RELATING TO CLIENT SIGNATURES

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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