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Tag Archives: H.D. Vest Investment Securities

SEC Fines Texas Brokerage After Agent Stole $300,000 From Elderly Clients

By Gregory Tendrich, P.A. | Posted on March 12, 2015

Even if you deal with a reputable securities broker, there may still be unscrupulous agents of that broker who will take advantage of clients. Federal law requires all registered brokers to establish procedures for supervising their representatives. A broker who fails to do so can be held liable for a rogue agent’s illegal actions…. Read More »

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