Have a Claim?

Click here for a confidential contact or call:


March 4, 2015

Posted  January 28, 2016

The SEC charged Texas-based brokerage firm H.D. Vest Investment Securities with violating key customer protection rules after failing to adequately supervise registered representatives who misappropriated customer funds.  The company agreed to settle the charges by paying a financial penalty and retaining an independent compliance consultant to improve its supervisory controls.  SEC

Tagged in: Regulatory Violations, Securities Fraud,