Avantax Investments (HD Vest) Archives - Rex Securities Law-BLOG

ER
June 19, 2023
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Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 19, 2023 June 19, 2023

Robert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered broker who formerly worked for Avantax Investment Services, discloses a 2 customer…

ER
March 27, 2023
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Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2023 March 27, 2023

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal, a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

ER
March 14, 2023
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Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX

Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 14, 2023 March 14, 2023

Brian Test Investigation March 2022-Frisco, TX The FINRA records of Brian Test , a broker currently employed by Avantax Investment Services, Inc. , disclose a regulatory matter, a final customer dispute, and a…

ER
June 13, 2022
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Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX

Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2022 August 29, 2022

Travis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest), discloses a…

ER
March 29, 2022
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William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX

William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 29, 2022 October 6, 2022

William Frank Richardson Investigation September 2022-Houston, TX The FINRA records of William “Frank” Richardson, Jr. , a stock broker with Avantax Investment Services, disclose 6 prior customer disputes. The Financial…