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William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH

William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH

William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH 150 150 Rex Securities Law

MAY 2017 UPDATE-FINRA records indicate that William M. Ditty, Jr. is not currently registered with any broker dealer.

ORIGINAL POST-July 2016– Dublin, Ohio

The FINRA records of William M. Ditty, Jr.  , a stock broker who works for HD Vest Investment Services  , disclose  a currently pending regulatory matter, a prior final customer dispute, a prior final financial event and 9 outstanding judgement/liens

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.

In a currently pending FINRA Case # 2014042156101, FINRA alleges that Ditty willfully failed to timely amend FINRA records to disclose an unsatisfied IRS tax lien of $107,519 that was filed against him. Ditty waited until approximately two years and seven months to disclose the lien, according to FINRA. In addition Ditty made false affirmations to his member firm in annual compliance attestations.

Ditty discloses 9 unsatisfied tax liens in favor of the State of Ohio. In September 2015, Ditty entered into a compromise with the IRS and satisfied over $265,000 in taxes owed for years 1999-2010 by paying $131,204.

DItty has worked for HD Vest Investment Services since 8/1991.

If you have losses in an account handled by William M. Ditty , contact us to discuss your 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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