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.