Last Updated: April 2024 (Canton, Horseshoe Bay and Marble Falls, Texas)
William Dale Hester Investigation Summary
Here’s what you need to know about Canton/ Marble Falls, Texas, stockbroker William Dale Hester:
- Name: Mr. William Dale Hester
- Current Employer: Calton & Associates, Dominion Portfolio Management (RIA)
- DBA: Hester & Company, W. Dale Hester Insurance Services, Hester Financial Consultants, Hester Jason CPAs
- Previous Firms: Summit Brokerage Services, VSR Advisory Services
- Function: Stock Broker/ Financial Advisor
- Aliases: Dale Hester
- Primary Location: Canton, Marble Falls & Horseshoe Bay, Texas
- CRD 1992112
- Can William Dale Hester be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Regulatory Investigation: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Texas State Securities Board Investigation of William Dale Hester
According to Hester’s CRD, there is a pending investigation by Texas State Securities Board (TSSB) reviewing allegations from a customer filed complaint.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
The Texas State Securities Board
Mission of the TSSB, according to their website:
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigations of other Calton & Associates brokers
If you have suffered investment losses in an account handled by William Dale Hester, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.