WILLIAM OGDEN KASTEN

WILLIAM OGDEN KASTEN is currently employed as a Broker and/or Investment Adviser at WILLIAM BLAIR located at THE WILLIAM BLAIR BUILDING, 150 NORTH RIVERSIDE, CHICAGO, IL, 60606.

WILLIAM OGDEN KASTEN has worked at WILLIAM BLAIR since January 14, 1997

Disclosure History

WILLIAM OGDEN KASTEN has 2 Disclosure Event(s).

Date: October 23, 2013
Category: Customer Dispute
Allegations: SUITABILITY OF INVESTMENT; IN OR ABOUT 2004 TO 2008.
Damage Amount Requested: $680,000.00
Settlement Amount: $300,000.00
Broker Comment: MY FIRM FILED A RESPONSE DENYING THE ALLEGATIONS. SETTLED TO AVOID UNCERTAINTY AND EXPENSE OF ARBITRATION.

Date: November 25, 2009
Category: Regulatory
Initiated By: WISCONSIN
Allegations: DELINQUENT FOR WI STATE TAXES
Resolution: NOTICE OF REVOCATION SanctionDetails:
Sanctions: Revocation
Broker Comment: WISCONSIN DEPT OF REVENUE CERTIFIED KASTEN AS DELINQUENT FOR STATE TAXES. STATUTE REQUIRES REVOCATION AFTER 30 DAYS NOTICE. NOTICE ISSUED 11/25/2009. KASTEN FAILED TO RESOLVE HIS DELINQUENCY BY THE LAST BUSINESS DAY PRIOR TO THE DATE AND CRD SHUTDOWN. THIS IS NOT A DISCIPLINARY EVENT FOR VIOLATIONS OF ANY SECURITIES LAW. AGENT MAY REAPPLY AFTER RESOLUTION OF TAX DELINQUENCY. WISCONSIN SECURITIES AGENT CREDENTIAL REINSTATED 5/7/10.

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