Tag Archives: VFG Securities

VFG Securities Fined For Failure To Supervise

July 28, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

VFG Securities, headquartered in Culver City, California, has been censured and fined $75,000.00 by Financial Industry Regulatory Authority (FINRA) based upon allegations that it failed to supervise securities transactions that its registered representatives effected, and did not maintain accurate records and books in reference to securities transactions that its representatives facilitated. Letter of Acceptance, Waiver […]

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VFG Securities And Chief Executive Officer Censured For Misleading Investors

December 07, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

VFG Securities, Inc., as well as Jason B. Vanclef, of Culver City, California, a stockbroker and chief executive officer currently registered with VFG Securities, Inc., were censured by Financial Industry Regulatory Authority (FINRA) per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Vanclef made investment recommendations to customers based upon […]

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