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FINRA Awards for HD Vest Investment Services

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0049008/16/2018Claimant(s): HD Vest Investment Services
Claimant Lawyers(s): Paul S. Magy
Respondent(s): Brian Royster
Respondent Lawyers(s): Brian Lamont Royster
Arbitrator(s): William Joseph Caprathe
Hearing Site: Detroit, MI
18-0099707/24/2018Claimant(s): John Vento
Claimant Lawyers(s): Michael Bessette
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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
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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
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