WILLIAM LEWIS DIENER

WILLIAM LEWIS DIENER is currently employed as a Broker and/or Investment Adviser at SUMMIT BROKERAGE SERVICES, INC. located at One W Camino Real, Suite 114A, BOCA RATON, FL, 33432.

WILLIAM LEWIS DIENER has worked at SUMMIT BROKERAGE SERVICES, INC. since January 12, 2015

Disclosure History

WILLIAM LEWIS DIENER has 2 Disclosure Event(s).

Date: April 30, 2007
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES THAT FINANCIAL ADVISERS UNDER HIS SUPERVISION ENGAGED IN UNAUTHORIZED TRADING IN VERY SPECULATIVE STOCKS. FEBRUARY 2005-APRIL 2005)
Damage Amount Requested: $30,000.00

Date: September 26, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGED UNSUITABLE INVESTMENTS-02/2005-04/2005.DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED.

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.

To view the full report for WILLIAM LEWIS DIENER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.