JOHN EVERETT MANSFIELD is currently employed as a Broker and/or Investment Adviser at HD VEST INVESTMENT SERVICES located at 13900 N Portland, Suite 210, BARTLESVILLE, OK, 73134.
JOHN EVERETT MANSFIELD has worked at HD VEST INVESTMENT SERVICES since August 20, 1987
Disclosure History
JOHN EVERETT MANSFIELD has 3 Disclosure Event(s).
Date: July 27, 2016 Category: Customer Dispute Allegations: The client requested that the firm research her complaint and she claimed that she is the victim of fraud. The client claims that she does not know what happened to assets that were held in a mutual fund account that she believes was liquidated in 2008. In 2012, the firm researched and responded to an inquiry the client made through the State of Oklahoma Insurance Department informing her that her assets were transferred, in kind, to another firm in accordance with the written instructions she provided to that firm in 2008. HD Vest obtained information and documents from the fund company that clearly evidence the transfer of assets to the other firm. In addition, the firm also spoke to representatives at the other firm who confirmed that in 2008 the funds were received into the client's account. Accordingly, the firm has concluded that there was no fraud, or any other wrongdoing, committed by HD Vest or our representative. Damage Amount Requested: $32,437.34
Date: April 19, 2016 Category: Customer Dispute Allegations: The client alleged that she received poor service and that the representative processed trades without her authorization. Damage Amount Requested: $20,000.00 Broker Comment: Upon conclusion of the Firm's review of the matter, no wrongdoing was found on the part of the representative.
Date: April 13, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED HER INVESTMENT POSITIONS WERE NOT SUITABLE
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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