Prospera Financial Services problem Archives

Robert Rex, Esq.
July 20, 2025

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 20, 2025 July 23, 2025

Updated: July 2025 New York According to FINRA records, Ari M. Baum , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory…

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August 13, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g August 13, 2021 August 13, 2021

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…

Robert Rex, Esq.
June 23, 2020

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

Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 23, 2020 June 23, 2020

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…

Robert Rex, Esq.
June 23, 2020

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 23, 2020 June 23, 2020

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…

Robert Rex, Esq.
April 13, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 13, 2017 April 13, 2017

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…

Robert Rex, Esq.
June 20, 2016

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

September 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…

Robert Rex, Esq.
June 20, 2016

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

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

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…

Robert Rex, Esq.
June 20, 2016

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

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…

Robert Rex, Esq.
June 17, 2016

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

Plano, 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…

Robert Rex, Esq.
July 15, 2015

Former Lowell and Company Broker From Lubbock Sanctioned by Regulators

Former Lowell and Company Broker From Lubbock Sanctioned by Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 15, 2015 July 15, 2015

July 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…

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