H.D. Vest (Now Avantax) Archives

Robert Rex, Esq.
February 22, 2016

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

Ronald Harrison-Former GWN Securities Broker-Sanctioned by Regulator-Carrollton, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 22, 2016 February 22, 2016

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…

Robert Rex, Esq.
January 12, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 12, 2016 January 12, 2016

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…

Robert Rex, Esq.
November 11, 2015

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

Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 November 11, 2015

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…

Robert Rex, Esq.
July 17, 2015

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 17, 2015 July 17, 2015

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…

Robert Rex, Esq.
June 17, 2015

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

H.D. Vest Broker Fined/Suspended by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2015 June 17, 2015

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…

Robert Rex, Esq.
March 20, 2015

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

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 20, 2015 March 20, 2015

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.…