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 disclose to FINRA that he filed a Chapter 7 bankruptcy petition.
AWC No. 2014042059901
Palacio was fined $5,000 and suspended for four months.
According to FINRA records, Palacio was registered with H.D. Vest Investment Services from 4/2010-3/2015.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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