White Plains, New York According to FINRA records, John M. Gregory , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory Authority (FINRA) is…
read morePlano, Texas According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event. The Financial Industry Regulatory…
read moreJuly 10, 2015-Lubbock, TX Jeffery Karl Hobgood entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…
read moreDouglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX
April 2, 2015-San Antonio, Texas FINRA records report that Douglas Joseph Dannhardt entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read more- 1
- 2