Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, March 10, 2015

SEC Charges H.D. Vest Investment Securities – Securities Lawyer 101


Going Public LawyerOn March 4, 2015, the Securities and Exchange Commission (the “SEC”) announced it had charged H.D. Vest Investment Securities with violating key customer protection rules after failing to adequately supervise registered representatives who misappropriated customer funds. H.D. Vest Investment Securities agreed to settle the charges by paying a financial penalty and retaining an independent compliance consultant to improve its supervisory... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-charges-h-d-vest-investment-securities-securities-lawyer-101/

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