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FINRA Awards for HD Vest Investment Services

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0152505/14/2018Claimant(s): Elma McKenzie, Elma D. McKenzie IRA
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Karl Foust, HD Vest Advisory Services., HD Vest Investment Services
Respondent Lawyers(s): Eric J. Dec, Neil S. Baritz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Checkmark Icon$0
16-0300910/18/2017Claimant(s): Elizabeth Gallucci
Claimant Lawyers(s): Dennis Boyle
Respondent(s): Frank Kelly, HD Vest Investment Services
Respondent Lawyers(s): Rob Moses
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
Checkmark Icon$0

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