Written by The White Law Group• March 25, 2020• 7:27 pm• Blog, Current Investigations, Securities Fraud Articles

Dana B. Vietor, Financial Advisor Fraud Investigation

Financial Advisor Dana B. Vietor, CFD Investments, Dallas, TX

FINRA Reportedly Bars Advisor Dana B. Vietor for Allegations of Selling Away

Are you concerned about investments with Dana B. Vietor in Dallas, TX? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

Table of Contents

According to public records on the Financial Industry Regulatory Authority’s website, on March 23, 2020, the regulator reportedly barred Vietor from associating with any FINRA member firm at any time.

According to the findings, Vietor allegedly engaged in the sale of promissory notes called deposit agreements in connection with customers totaling more than $3 million without disclosing and receiving approval from his member firms for each individual private securities transaction. The finding stated that Vietor, along with other business partners, was purportedly engaged in a start-up business venture that required funding. The deposit agreements reportedly raised funds for entities associated with the business venture. As a member of the management team, Vietor purportedly received indirect selling compensation.

According to his broker profile, Vietor was reportedly registered with CFD Investments in Dallas, TX from 2016 until 2018 when he was allegedly discharged after allegations. The firm reportedly permitted him to resign after he reportedly “engaged in private securities transactions without providing information to the firm or seeking approval for the transactions.”. Vietor reportedly has six customer complaints filed against him during his career in the securities industry. He has reportedly been affiliated with 13 firms during his 31 years working in the securities industry.

Broker Investigation

The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Vietor’s employers may have for failure to properly supervise him.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. We represent investors in FINRA arbitration claims in all 50 states including Texas. Our attorneys have recovered millions of dollars from many brokerage firms in the past.