H.D. VEST INVESTMENT SERVICES
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE1050007 RE: H.D. Vest Investment Services, Respondent Member Firm (BD No. 13686) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent H.D. Vest Investment Services submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against it alleging
Reference CE1050007data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024282701 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: H.D. Vest Investment Services (CRD No. 13686) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H.D. Vest Investment Services(H.D. Vest) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2010024282701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048632401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HD Vest Investment Services, Respondent CRD No. 13686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HD Vest Investment Services ("HDVIS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2016048632401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000454601 TO: Market Regulation Department NASD RE: H.D. Vest Investment Services, Respondent CRD No. 13686 Pursuant to Rule 9216 of the NASD Code of Procedure, H.D. Vest Investment Services ("HDVS or the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference 2005000454601data-portal.finra.orgfinra.org
Other names1
Also known as1
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