Archive - April 9, 2015

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Investors Greatly Undervalue Safeguarding Their Money

Investors Greatly Undervalue Safeguarding Their Money

  I read with interest an article in Financial Planning Magazine entitled, “HD Vest Settles SEC ‘Supervisory Failures’ Charges“, which read in part:
HD Vest, a CPA-centric independent broker-dealer, agreed to pay $225,000 to settle SEC charges of supervisory failure, following the barring of a former independent representative who allegedly swindled his elderly clients of over $300,000. … During his time with HD Vest, Lewis J. Hunter convinced two elderly clients to invest $250,000 in a Canadian bank in 2010 and 2011, providing fabricated guaranteed investment certificates and using their money instead to pay for personal expenses, according
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