Former SEC Executive Joins Independent Broker-Dealer as General Counsel
HD Vest Financial Services, a tax-centric independent broker-dealer, announced that David Peavler has joined the firm as general counsel and will oversee the firm’s legal matters and drive its legal strategy.
Peavler joined HD Vest from the Securities and Exchange Commission’s Fort Worth Regional Office, where he served as the associate director in charge of the agency’s enforcement efforts in Texas, Oklahoma, Arkansas and Kansas.
During his 15-year tenure with the SEC, he conducted numerous investigations across multiple industries. While at the agency, he received the Irving Pollack Award for exceptional public service and the Arthur F. Mathews Award for “sustained demonstrated creativity in applying federal securities laws for the benefit of investors.”
“I am excited to welcome David to the firm,” said Bob Oros, CEO of HD Vest. “We are fortunate to have someone of his caliber serve as a resource for our advisors and their clients. David’s extensive regulatory and legal experience make him a valuable asset as we look to the future.”
Peavler will be a member of the HD Vest executive leadership team and will report directly to CEO Bob Oros. He will be based in Irving, Texas.
Prior to joining the SEC, Peavler was a partner in the trial section of Locke Liddell (now Locke Lord), where he primarily represented major accounting firms in auditing malpractice and securities class actions, and he also served as in-house counsel with Phillips Petroleum Company and ConocoPhillips, handling general corporate and transactional matters.
Peavler received his law degree from the University of Texas and his undergraduate degree in accounting and economics from Baylor University.
HD Vest Financial Services is comprised of an independent network of tax and non-tax professionals who provide securities insurance, money management services, and banking solutions. The firm has more than 4,400 independent contractors, who manage $40+ billion in assets for individuals, families and small businesses.
