Fort Lauderdale-based Soreide Law Group obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014."
Dennis Todd Witthoeft (CRD #1631137, Wesley Chapel, Florida)
was fined $5,000 and suspended by FINRA for 30 business days for allegedly improperly exercising discretion by effecting stock and option transactions in a single customer account after the end of the business days on which the customer authorized the transactions.
FINRA's findings stated that Witthoeft failed to obtain the customer’s written authorization which would permit discretion, and his member firm had not accepted the account as discretionary.
Dennis Witthoeft's suspension is in effect from November 3, 2014, through December 15, 2014.
(FINRA Case #2013037625201)
Dennis Todd Witthoeft is currently registered with the following securities firm(s):
CALTON & ASSOCIATES, INC. (CRD# 20999)
14497 N. DALE MABRY HWY STE. 215, TAMPA, FL 33618
Dennis Todd Witthoeft was previously registered with the following securities firm(s):
02/1987 - 12/1987 BUCHANAN & CO., INC. (CRD# 7113)
The FINRA information ends here.
Soreide Law Group, (888) 760-6552, located in Fort Lauderdale, Florida, represents clients nationwide before FINRA. Call for a free consultation with an attorney on how to potentially recover your losses.
