Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to a former financial advisor, Dana Vietor formerly with CFD Investments, Inc. (2016-2018) and with Cape Securities Inc. (2013-2014).
The attorneys of Haselkorn & Thibaut, P.A. at investmentfraudlawyers.com have been investigating potential selling away as well as sales practice and supervision issues. The experienced team at Haselkorn & Thibaut, P.A., represents investors nationwide in pursuing private Financial Industry Regulatory Authority (FINRA) customer disputes and helping clients recover their investment losses.
According to FINRA Brokercheck, Dana Vietor was barred by FINRA. The Acceptance, waiver, and Consent (AWC) reflected issues relating to a purported sale of promissory notes and a possible private securities transaction involving a start-up business venture. In addition to this disclosure from March 2020, Dana Vietor’s FINRA Brokercheck reflects another Regulatory disclosure, along with six separate customer dispute disclosures, and an Employment Separation disclosure as well (where it appear CFD Investments, Inc. permitted a resignation after there appeared to be a private securities transaction that was not adequately disclosed to the firm in its annual questionnaires).
In October 2017, Financial Advisor Magazine (FA-mag.com) article entitled Firm Does What FINRA Won’t: Rates 30 Worst Brokerage Firms, where the Securities Litigation & Consulting Group (SLCG) had done what regulators have repeatedly declined to do – published the worst-ranked brokerage firms in the securities industry, noting in doing so that FINRA Brokercheck data from 2007-2016 reflects that only 2.6% of brokers at firms of more than 200 brokers have customer complaints. This is arguably an industry average type benchmark. According to FINRA Brokercheck (as noted above), Dana Vietor has multiple disclosures.
What to do if you have knowledge regarding DANA VIETOR Formerly With CFD INVESTMENTS, INC?
Haselkorn & Thibaut, P.A. is investigating these issues, and if you are a former client of Dana Vietor, CFD Investments, or Cape Securities with knowledge regarding any of the issues related to the promissory notes, or sales practice or supervision issues related to the handling of your investment accounts that involved Dana Vietor, please contact our offices.
Haselkorn & Thibaut, P.A. is an investment fraud law firm that specializes in representing investor clients in investment fraud matters and FINRA arbitration cases nationwide. The two name partners have over 45 years of combined legal experience representing investors (both individual and institutional investors) seeking to aggressively pursue their claims and maximizing client recoveries of investment losses for victims of negligence or investment fraud. For investors faced with investment losses, a FINRA Dispute Resolution customer dispute may be the way to go if you want to recover your losses in a private, confidential, and efficient alternative (compared to state or federal court litigation). One of the best decisions you can make in this process is to consider having experienced securities arbitration attorneys by your side, to help you maximize your potential recovery of investment losses.
The securities arbitration attorneys at Haselkorn & Thibaut, P.A. (InvestmentFraudLawyers.com) can help you from start to finish in this process. This FINRA Dispute process is a private arbitration process between you and your brokerage firm. There are typically no depositions, and the process is intended to be a faster, more efficient, and less expensive alternative to court litigation.
The sole purpose of this release is to investigate the manner in which Dana Vietor, CFD Investments, and Cape Securities handled transactions with investors in an actual or potential private securities transaction. If you have any knowledge or experience with these matters, please contact Haselkorn & Thibaut, P. A. at www.investfraudlawyers.com or call 1-888-628-5590.