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INVESTOR ALERT! Erin Verespy of HD Vest Is Now BARRED

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18
Apr

INVESTOR ALERT! Erin Verespy of HD Vest Is Now BARRED

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INVESTOR ALERT!  Erin Verespy of HD Vest Is Now BARRED

Have you lost money with financial advisor Erin Verespy of Trumbull, Connecticut? 

 

We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Erin Lynn Verespy. FINRA barred Verespy from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Verespy based on allegations that she misused or misappropriated customer funds and also failed to notify her former brokerage firm, HD Vest Investment Services, of the claims.

 

Erin Verespy was a financial advisor and registered representative of HD Vest Investment Services from 1998 to March 2019.  She worked at a branch office Trumbull, Connecticut.  She also operated a tax preparation business called All About Numbers.

 

Brokerage firms like HD Vest Investment Services have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Connecticut.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against HD Vest Investment Services.

 

Click to view:  Verespy, Erin BrokerCheck

Click to view:  Verespy, Erin FINRA AWC

 

If you lost money with Erin Verespy, or HD Vest Investment Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

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