Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that former Texas-based CFD Investments broker/adviser Dana Vietor recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vietor (CRD# 873129).
Dana Vietor has spent 13 years in the securities industry and was most recently registered with CFD Investments in Dallas, Texas (2016-2018). Previous registrations include Oakbridge Financial Services in Nisswa, Minnesota (2014-2016); Cape Securities in Irving, Texas (2013-2014); Allied Beacon Partners in Independence, Iowa (2011-2013); Workman Securities in Independence, Iowa (2002-2011); Linsco/Private Ledger Corporation in Boston, Massachusetts (1998-2002); the Advisors Group in Bethesda, Maryland (1996-1998); Allied Group Merchant Banking Corporation in Columbus, Ohio (1994-1996); Lasalle St. Securities in Elmhurst, Illinois (1992-1993); Financial Network Investment Corporation in El Segundo, California (1990-1991); F&G Securities (1987-1988); St. Paul Investors (1983-1985); and SMA Equities (1981-1982). He has passed seven securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 20, 1979; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 22 (Direct Participation Programs Representative Examination), which he obtained on February 24, 2005; Series 62 (Corporate Securities Limited Representative Examination), which he obtained on February 19, 2005; Series 1 (Registered Representative Examination), which he obtained on October 20, 1979; Series 24 (General Securities Principal Examination), which he obtained on December 14, 2010; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 15, 1999. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction, and he recently resigned from his former employer in connection to alleged rule violations.
In November 2018 he was “permitted to resign” from his position at CFD Investments in connection to allegations he participated in undisclosed, unapproved private securities transactions, and that he attested on annual firm compliance questionnaires that he was not participating in private securities transactions.
In 2011 a customer alleged Dana Vietor, while employed at Workman Securities Corporation, recommended an unsuitable real estate investment trust product. The complaint settled for $5,000.
In 2011 a customer alleged Dana Vietor, while employed at Workman Securities Corporation, recommended an unsuitable and concentrated REIT position. The complaint settled for $35,000.
In 2005 he was sanctioned by the Minnesota Commerce Department in connection to allegations he failed to deliver contracts within 30 days. He was issued a fine of $300.
If you have lost money investing with Dana Vietor, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.