September 26, 2011 Comments (0) Blog, Securities Fraud

Securities Regulatory Information Regarding H.D. Vest

(Last Updated On: July 17, 2015)

The following is a brief breakdown of publicly available information regarding H.D. Vest and its securities sales practices and FINRA regulatory history.

H.D. Vest is a FINRA registered broker-dealer based in Irving, Texas.  H.D. Vest’s website states that the firm offers financial planning to more than three million individuals and small businesses throughout the United States.

Although H.D. Vest has a solid reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, H.D. Vest has been named in at least 10 regulatory events related to possible securities fraud violations.  The firm has been the subject of investigations conducted by FINRA, the State of Vermont, the Commonwealth of Pennsylvania, and Securities and Exchange Commission (among others).  These regulatory investigations involved the following investment products (among others): mutual funds, annuities, index options, and charitable gift annuities.

The firm has also been named in at least 4 FINRA arbitration claims filed by investors.  These claims involved various investment types and causes of action.

The foregoing is but a brief summary of the firm’s FINRA Broker Report.  To access H.D. Vest’s full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with H.D. Vest, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help.  To contact the firm, please call 312/238-9650 or 561/807-6804.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit http://www.whitesecuritieslaw.com.

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