Tag Archives: Richard Whitley

H.D. Vest Stockbroker Barred for Obstructing Investigation

Richard Eugene Whitley, a former H.D. Vest general securities representative, was barred from association with any FINRA registered firm in all capacities after Whitley failed to cooperate with a FINRA investigation into allegations of that Whitley, while employed at his former firm, engaged in unsuitable trading in customer accounts. Letter of Acceptance, Waiver and Consent […]

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