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Prospera Financial Services

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Rex Securities Law

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

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David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX

David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

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Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX

Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX 150 150 Rex Securities Law

June 2020 -Lubbock, TX The FINRA records of Joel “Kirk” Corbin, a stockbroker registered with Prospera Financial Services, Inc. , disclose a settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Tom “Bud” Arnett, Jr.- Prospera Financial Services Broker- Discloses Settled Customer Dispute-Lubbock, TX

Tom “Bud” Arnett, Jr.- Prospera Financial Services Broker- Discloses Settled Customer Dispute-Lubbock, TX 150 150 Rex Securities Law

June 2020 -Lubbock, TX The FINRA records of Tom “Bud” Arnett, Jr. , a stockbroker registered with Prospera Financial Services, Inc. , disclose a settled customer dispute. The Financial Industry Regulatory Authority…

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Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Rex Securities Law

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX

Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX 150 150 Rex Securities Law

April 2017-Colleyville, Texas The FINRA records of  Michelle Diane Drake ,  a  stockbroker who is currently  registered with   Prospera Financial Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute 150 150 Rex Securities Law

New York According to FINRA records,  Ari M. Baum ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a termination from employment and a currently pending customer dispute The Financial Industry Regulatory Authority…

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Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Rex Securities Law

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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