JAMES RICHARDSON is currently employed as a Broker and/or Investment Adviser at HD VEST INVESTMENT SERVICES located at 623 NORTH MAIN ST, O'FALLON, MO, 63366.
JAMES RICHARDSON has worked at HD VEST INVESTMENT SERVICES since September 01, 1987
Disclosure History
JAMES RICHARDSON has 2 Disclosure Event(s).
Date: April 02, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGED HER MONEY WAS INVESTED WITHOUT HER PERMISSION AND ALLEGED CONCERNS REGARDING ACCOUNT FEES AND THE TRANSFER PROCESS. Broker Comment: UPON CONCLUSION OF THE FIRM'S INVESTIGATION INTO THE MATTER, NO WRONG DOING WAS FOUND ON THE PART OF THE REPRESENTATIVE.
Date: November 30, 1987 Category: Regulatory Initiated By: STATE OF MISSOURI Allegations: ADVERTISING TO THE GENERAL PUBLIC AS ANINVESTMENT ADVISOR AND NOT BEING REGISTERED WITH THE STATE OFMISSOURI. Resolution: Decision SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: ORDER TO CEASE AND DESIST RESCINDED. NO FINE,PENALTY OR SETTLEMENT ASSESSED. Broker Comment: STATE OF MISSOURI FELT THAT I SHOULD REGISTER ASAN INVESTMENT ADVISOR AND THEN RESCINDED ITS ORDER TO CEASE ANDDESIST WHEN IT WAS LEARNED THAT I DID NOT ADVERTISE TO THEGENERAL PUBLIC. I AM, HOWEVER, IN THE PROCESS OF REGISTERINGWITH THE STATE OF MISSOURI AS AN INVESTMENT ADVISOR INANTICIPATION THAT I MIGHT NEED TO HAVE THIS REGISTRATION IN THEFUTURE FOR ANY REASON WHATSOEVER.
More Information
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