Tuesday, March 10, 2015
SEC Charges H.D. Vest Investment Securities - Securities Lawyer 101
On 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 misapp...
https://www.securitieslawyer101.com/2015/sec-charges-h-d-vest-investment-securities-securities-lawyer-101/
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