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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