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WARNING! Impending Investigation: RICHARD E. WHITLEY and H.D. VEST INVESTMENT SERVICES

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24
Jun

WARNING! Impending Investigation: RICHARD E. WHITLEY and H.D. VEST INVESTMENT SERVICES

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Richard E. Whitley and H.D. Vest Investment Services

Have you lost money with financial advisor Richard E. Whitley of Elkin, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Whitley.  Whitley was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Whitley for possible unsuitable trading.

Richard E. Whitley was a financial advisor and registered representative of H.D. Vest Investment Services from 1992 to August 2014.  He worked at a branch office in Elkin, North Carolina.

Brokerage firms like H.D. 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 and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in North Carolina.  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 Richard, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Richard Whitley or H.D. Vest Investment Services, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Whitley FINRA AWC

Click to view:  Whitley BrokerCheck 6.19.15

 

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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