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FINRA Awards for H.D. Vest Investment Services

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Case Number Award Date Case Summary Customer Case? Amount Granted
04-0077204/16/2009Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
Checkmark Icon$0
07-0188803/31/2008Claimant(s): Roger Moore
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Gerald D. Wygant, George H. Speciale, William J. Chambers
Hearing Site: Boise, ID
Checkmark Icon$0

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