Violation Tracker Individual Record

Company: 
H.D. Vest Investment Securities
Penalty: 
$225,000
Year: 
2015
Date: 
March 4, 2015
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

An Irving, Texas-based brokerage firm agreed to settle allegations that it violated customer protection rules by failing to adequately supervise registered representatives who misappropriated customer funds.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.