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 as requested by FINRA in connection with an investigation into allegations that Kasbar, between 2010 and 2015, engaged in an outside business activity beyond the scope of the approvals provided by his employers, HD Vest and LPL Financial.
AWC No. 2015045744901
Kasbar was barred from associating with any FINRA member firm in any capacity.
FINRA records indicate that Kasbar was registered with H.D. Vest Investment Services in Hollywood, FL, from 2/2011-3/2014. He was registered with LPL Financial from 3/2014-6/2015.
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.
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