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
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