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WARNING! Impending Investigation: DANIEL KASBAR and HD VEST INVESTMENT SERVICES

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06
Nov

WARNING! Impending Investigation: DANIEL KASBAR and HD VEST INVESTMENT SERVICES

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WARNING!  Impending Investigation:  DANIEL KASBAR and HD VEST INVESTMENT SERVICES

Daniel Kasbar and HD Vest Investment Services

 

Have you lost money with financial advisor Daniel Kasbar of Hollywood, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel G. Kasbar. FINRA barred Kasbar from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Kasbar regarding allegations that he engaged in outside business activities without permission from his securities brokerage firms, HD Vest Investment Services and LPL Financial.

 

Daniel Kasbar was a financial advisor and registered representative of HD Vest Investment Services from February 2011 to March 2014.  He was also affiliated with LPL Financial from March 2014 to June 2015.  He worked at a branch office in Hollywood, Florida.  He was terminated by LPL Financial for his failure to disclose his outside business activities.  He was also affiliated with Kasbar Financial.

 

Brokerage firms like HD Vest Investment Services and LPL Financial 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 and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Daniel, ProEquities, Securities America, National Securities Corp., and many others.

 

HAVE YOU LOST MONEY WITH DANIEL KASBAR, HD VEST INVESTMENT SERVICES, or LPL FINANCIAL?   

 

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CONSULTATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Click to view:  Kasbar FINRA AWC

Click to view:  Kasbar BrokerCheck 11.4.15

 

 

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.
10.0David P Neuman

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