fbpx

h d vest complaint

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…

read more

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA 150 150 Rex Securities Law

July 10, 2015- Jose Palacio  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…

read more

H.D. Vest Broker Fined/Suspended by Securities Regulators

H.D. Vest Broker Fined/Suspended by Securities Regulators 150 150 Rex Securities Law

June 8, 2015 Susan Cornwall  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she accepted $38,000 from a…

read more

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 150 150 Rex Securities Law

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc.  failed to supervise Michigan broker Lewis J.…

read more

This site is protected by wp-copyrightpro.com