Articles Posted in HD Vest Investment Services

FINRA Suspends Waco, Texas Broker For 18 Months Two investors have filed Financial Industry Regulatory Authority (FINRA) arbitration complaints against Michael Allen Kamperman, who was most recently a former HD Vest Investment Services registered representative. Both customers are accusing him of making unsuitable and excessive trades on their behalf. Kamperman,…

The Financial Industry Regulatory Authority (FINRA) has barred yet another ex-broker for selling promissory notes that have since been linked to the $1.2B Woodbridge Ponzi scam. The fraud is believed to have bilked around 8,400 investors. According to the self-regulatory authority (SRO), broker Frank Dietrich sold 58 investors $10M of…