WILLIAM MICHAEL LANDENBERGER

WILLIAM MICHAEL LANDENBERGER is currently employed as a Broker and/or Investment Adviser at HD VEST INVESTMENT SERVICES located at 4350 E DANBURY, PHOENIX, AZ, 85032.

WILLIAM MICHAEL LANDENBERGER has worked at HD VEST INVESTMENT SERVICES since February 17, 2012

Disclosure History

WILLIAM MICHAEL LANDENBERGER has 1 Disclosure Event(s).

Date: August 20, 1997
Category: Customer Dispute
Allegations: SECURITIES & EXCHANGE ACT, USCA TITLE 15,SECURITIES ACT OF 1933, EXCESSIVE TRADING, FRAUDULENTCONCEALMENT, NON DISCLOSURE,CHURNING, UNSUITABILITY
Damage Amount Requested: $360,000.00
Broker Comment: NONE, APPEALJUDGEMENT IN OUR FAVOR ON 12/11/2000. JUDGEMENT WAS CERTIFIED AS MANDATED UNDER RULE 41 OF THE FEDERAL RULES OF APPELLATE PROCEDURES ON 1/3/2001 [CUSTOMER] ALLEGES THAT I TRADED IN HIS ACOUNT WITHOUT PERMISSION. THIS IS SIMPLY UNTRUE. HE ALLEGES THAT I DIDN`T GIVE HIM PROSPECTUSES FOR HIS INVESTMENTS, WHEN I HAVE SIGNED PROSPECTUS RECEIPTS IN HIS CUSTOMER FILE.

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 MICHAEL LANDENBERGER, click here.

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