H.D. Vest Investment Securities Inc. Archives

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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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.…