{"id":10477,"date":"2022-03-10T17:18:55","date_gmt":"2022-03-10T22:18:55","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10477"},"modified":"2022-03-10T17:18:55","modified_gmt":"2022-03-10T22:18:55","slug":"broker-dana-vietor-of-cfd-investments-subject-of-nine-claims-of-selling-away-totaling-over-5m","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-dana-vietor-of-cfd-investments-subject-of-nine-claims-of-selling-away-totaling-over-5m\/","title":{"rendered":"Broker Dana Vietor Of CFD Investments Subject Of Nine Claims Of Selling Away Totaling Over $5M"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10478 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/Dana-Vietor.jpg\" alt=\"Dana Vietor (Dana Bruce Vietor CRD# 873129) is a previously registered broker whose last known employer was CFD Investments, Inc. (CRD#:25427) of Dallas, TX. His previous employers include Oakbridge Financial Services (CRD#:16323, expelled by FINRA in 2016) of Nisswa, MN, Cape Securities Inc. (CRD#:7072) of Irving, TX, and Allied Beacon Partners, Inc. (CRD#:46227, expelled by FINRA in 2013) of Independence, Iowa.\u00a0 He has been in the industry since 1981.  FINRA began an investigation into Vietor\u2019s records, discovering that he engaged in the sale of promissory notes that were called \u201cdeposit agreements.\u201d According to the allegations, these agreements totaled over $3 million. However, Vietor failed to disclose this information to the investors. He also did not receive written approval from his member firm for these private security transactions.  According to FINRA\u2019s investigation findings, Vietor, along with his other business partners, engaged in a startup business venture in need of funding. These deposit agreements raised the needed capital for these entities associated with the startup. Because Vietor is part of the management team for these entities, and he has membership interests in each one, Vietor also received indirect selling compensation while involved in these private transactions.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/Dana-Vietor.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/03\/Dana-Vietor-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Dana Vietor (Dana Bruce Vietor CRD#<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/873129\" target=\"_blank\"> 873129<\/a>) is a previously registered broker whose last known employer was CFD Investments, Inc. (CRD#:25427) of Dallas, TX. His previous employers include Oakbridge Financial Services (CRD#:16323, expelled by FINRA in 2016) of Nisswa, MN, Cape Securities Inc. (CRD#:7072) of Irving, TX, and Allied Beacon Partners, Inc. (CRD#:46227, expelled by FINRA in 2013) of Independence, Iowa.\u00a0 He has been in the industry since 1981. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-dana-vietor-of-cfd-investments-subject-of-nine-claims-of-selling-away-totaling-over-5m\/#more-10477\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Dana Vietor (Dana Bruce Vietor CRD# 873129) is a previously registered broker whose last known employer was CFD Investments, Inc. (CRD#:25427) of Dallas, TX. His previous employers include Oakbridge Financial Services (CRD#:16323, expelled by FINRA in 2016) of Nisswa, MN, Cape Securities Inc. (CRD#:7072) of Irving, TX, and Allied Beacon Partners, Inc. (CRD#:46227, expelled by [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[],"class_list":["post-10477","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Broker Dana Vietor Of CFD Investments Accused Of Selling Away<\/title>\n<meta name=\"description\" content=\"Dana Vietor is a previously registered broker whose last known employer was CFD Investments, Inc. of Dallas, TX.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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