Avantax Investments (HD Vest) Archives

ER
March 14, 2023

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://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 October 2, 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
March 29, 2022

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://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 September 29, 2023

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…