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H.D. Vest

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Rex Securities Law

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX

Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX 150 150 Rex Securities Law

January  2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004)  a  stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…

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Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX 150 150 Rex Securities Law

May 2018- Kilgore, TX The FINRA records of  Jerry D. Raines,  a  previously registered stock broker who was last employed by HD Vest Investment Services and Signal Securities,  disclose  eleven  pending customer disputes involving the allegedly…

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Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX 150 150 Rex Securities Law

May 2018- Kilgore, TX The FINRA records of  Donna L. Barnard ,  a  stock broker formerly employed by HD Vest Investment Services and Signal Securities,  disclose  10  pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…

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Paul R. Nitz-H D Vest Broker-Discloses Pending Customer Arbitration-Woodlands, TX

Paul R. Nitz-H D Vest Broker-Discloses Pending Customer Arbitration-Woodlands, TX 150 150 Rex Securities Law

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…

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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 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…

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Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX

Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX 150 150 Rex Securities Law

February 16, 2016- Carrollton, Texas The Texas State Securities Board (TSSB) has suspended Ronald Eugene Harrison of Carrollton, Texas, for 90 days and assessed a fine of $5,000 to resolve…

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Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA

Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA 150 150 Rex Securities Law

November 3 , 2015 Daniel Kasbar  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information…

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Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL

Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL 150 150 Rex Securities Law

July 10,  2015- Bradenton, Florida Jose Luis Palacio ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…

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