Violation Tracker Individual Record
Company:H.D. Vest Investment Securities
Date:March 4, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
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 of Data:
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