Tag Archives: Thomas H. Laws

HD Vest Stockbroker Barred For Stealing $1 Million

Thomas H. Laws of Silver City New Mexico a stockbroker formerly associated with HD Vest Investment Services and Santa Fe Gold Corporation has been barred by Securities and Exchange Commission (SEC) from associating with any securities broker dealer or investment adviser founded on accusations against the stockbroker of misappropriation and forgery. In the Matter of […]

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FINRA Bars HD Vest Stockbroker For In Investigation

Thomas H. Laws of Silver City New Mexico a stockbroker formerly employed by HD Vest Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Laws failed to provide FINRA with recorded testimony in its investigation into allegations of Laws’ involvement […]

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