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…
read moreAugust 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…
read moreJune 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…
read moreJune 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…
read moreApril 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…
read moreNew 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…
read moreSeptember 2019-Macon, Georgia According to FINRA records, John Nelson Crook , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment, a currently pending customer dispute and a prior finalized…
read moreAustin, 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…
read moreWhite 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…
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