January 2017-The Woodlands, Texas
According to publicly available records Paul R. Nitz, (CRD# 2260178) , a stockbroker currently employed by HD Vest Investment Services , discloses a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
A customer of HD Vest Investment Services, filed FINRA Case 16-2001 , alleging damages of $528,000 for recommending and implementing an unsuitable investment strategy and for not informing the client that they could lose principal.
Nitz has been registered with HD Vest Investment Services since 9/ 1994.
If you have questions about an account in an account handled by Paul R. Nitz, contact us to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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