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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…
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 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 moreApril 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 moreLast Updated: January 2024 (Pittsburgh, PA) Alexander Kline Investigation Summary Here’s what you need to know about Pittsburgh, PA, stockbroker Alexander Kline: Name: Mr. Alexander Patrick Kline Current Employer: Cambridge…
read moreLast Updated: October 2023 (Dallas and Tyler, Texas) William Dendy Investigation Summary Here’s what you need to know about Dallas and Tyler, TX, stockbroker William Dendy: Name: Mr. William Edward…
read moreDavid 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 moreMay 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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