According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katrina Hayes (Hayes), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Cervantes (Cervantes), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cervantes recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Cramer (Cramer), previously associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cramer recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Williams (Williams), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Poosch (Poosch), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Poosch recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ned Chatelain (Chatelain), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chatelain recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Charney (Charney), currently associated with Prospera Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Charney recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dudley Stephens (Stephens), formerly associated with Coastal Equities, Inc. (Coastal Equities), in September 2018, was sanctioned and barred from the securities industry by FINRA due to failures to provide documents and information requested by the regulator. In…
Our firm is investigating customer disclosure claims concerning broker John Nelson Crook (Crook). Crook’s FINRA BrokerCheck record shows several disclosures of allegations concerning churning (excessive trading, unauthorized trading, unsuitability, and breach of fiduciary duty. His BrokerCheck records also show a disclosure concerning an employment separation after allegations. In July 2015,…
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor John Crook (Crook) currently registered with Prospera Financial Services, Inc. (Prospera), alleging unsuitable investments, fraud, breach of fiduciary duty, negligence, churning, and unauthorized trading among other claims. According to brokercheck records Crook…