WILLIAM TELFER LENT

WILLIAM TELFER LENT is currently employed as a Broker and/or Investment Adviser at FIELDPOINT PRIVATE SECURITIES, LLC located at 100 FIELD POINT ROAD, 2ND FL, GREENWICH, CT, 06830.

WILLIAM TELFER LENT has worked at FIELDPOINT PRIVATE SECURITIES, LLC since December 15, 2017

Disclosure History

WILLIAM TELFER LENT has 6 Disclosure Event(s).

Date: April 02, 2004
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES FC FAILED TO ADVISE HER ABOUT THE EXPIRATION OF HER OPTIONS.03/31/01
Damage Amount Requested: $1,000,000.00 Damages Granted: $1,288,918.50

Date: January 21, 2003
Category: Customer Dispute
Allegations: ALLEGATION OF SUITABILITY, EXCESSIVE TRADING AND FAILURE TO FOLLOW INSTRUCTIONS.
Damage Amount Requested: $5,000.00
Broker Comment: RICHARD APICELLA IS HANDLING THIS MATTER.

Date: October 02, 2002
Category: Customer Dispute
Allegations: ALLEGED IMPROPER HANDLING OF ACCOUNT BETWEEN APPROXIMATELY JUNE 2000 THROUGH 2002.
Damage Amount Requested: $446,000.00 Damages Granted: $325,000.00

Date: September 16, 2002
Category: Customer Dispute
Allegations: SEE ABOVE.
Broker Comment: CLAIM DENIED.

Date: August 27, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT THE PURCHASE OF A STOCK WAS UNAUTHORIZED. JUNE 2001.
Damage Amount Requested: $7,255.00
Settlement Amount: $3,576.70
Broker Comment: AS AN ACCOMMODATION, THE CLAIM WAS SETTLED FOR $3,576.70.

Date: December 20, 1997
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED EXCESSIVE SHORT-TERMTRANSACTIONS, UNSUITABILITY AND FAILURE TO FOLLOW INSTRUCTIONS. ALLEGED DAMAGES-UNSPECIFIED
Broker Comment: THE CLIENT'S CLAIM WAS DENIED. THERE WERE NO OPTIONS OF COMMODITIES INVOLVED. CONTACT: MIRIAM FINKEL (212) 723-3051Not Provided

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 TELFER LENT, click here.

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