The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding Prospera Financial Services, Inc.
Prospera Financial Services, Inc. is an independent broker-dealer firm based out of Dallas, Texas. Prospera Financial Services, Inc. was incorporated under the laws of Texas in 1982. Prospera Financial Services, Inc. is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Prospera Financial Services, Inc. is registered in 52 U.S. states and territories.
· Prospera Financial Services, Inc. was fined $30,000 in October 2007 for issuing research reports that failed to comply with SEC Regulations.
· In January 2003 Prospera Financial Services, Inc. was fined $15,000 for failing to report customer complaints, settlements and forgery allegations to FINRA.
· Prospera Financial Services, Inc. was fined $40,000 by the SEC for failing to supervise brokers who had a history of customer complaints prior to joining Prospera Financial Services, Inc.
· In February 2000, Prospera Financial Services, Inc. was fined $37,500 for loaning money to a customer in order to meet T margin calls on a company that that the broker owned.
If you or someone you know has lost money investing with Prospera Financial Services, Inc., call the attorneys at Fitapelli Kurta. Our law firm prosecutes cases nationwide on behalf of investors who have fallen victim to broker misconduct. All cases are taken on a contingency fee, which means we do not receive any compensation unless and until you recover money.
Call 877-238-4175 now for your free and confidential consultation.
Time to file a claim is limited, so do not delay.
As a note to investors, Prospera Financial Services also goes by the following names: ACM WEALTH MANAGEMENT, ADDISON SECURITIES, INC., ADELAIDE WEALTH ADVISORS, ARK FINANCIAL MANAGEMENT, ARK FINANCIAL MANAGEMENT, LLC, ASSET CAPITAL MANAGEMENT, BARRIGER & CO, INC., BARRY VOGEL & ASSOCIATES, BEDNARZ FINANCIAL, BELL WEALTH MANAGEMENT LLC, BENTLEY & COMPANY, BLANCHARD FINANCIAL SERVICES, BOB BENNIE WEALTH MANAGEMENT, BOTEL ASSET MANAGEMENT, BUCHANAN CAPITAL, LLC, C E GAYE & SONS SECURITIES, C E GAYE AND SONS SECURITIES, CAPTRUST FINANCIAL ADVISORS, CARDWELL AND ASSOCIATES, CASTLEROCK FINANCIAL ADVISORS, CECIL & CO, CLEARPATH, CLEARPATH INVESTMENT, COTTONWOOD CAPITAL, COVINO FINANCIAL GR LTD DBA LEGACY WLTH MGMT GR, CURMUDGEON CAPITAL LLC, D. PATTERSON COPE WEALTH MANAGEMENT, DANIAS FINANCIAL MANAGEMENT, DAY WEALTH MANAGEMENT, DFS INVESTMENTS, DOMINION CAPITAL PARTNERS, ENDURANCE WEALTH PARTNERS, FINANCIAL & INSURANCE ASSOCIATES, FINANCIAL E STRATEGIES, LLC, FOLTZ INVESTMENT GROUP LLC, HANSEN, STILES & ASSOCIATES, HEIDTKE & CO, INC., HUDDLESTON SMITH WEALTH MANAGEMENT, INSTITUTIONAL EQUITIES, JAK WEALTH MANAGEMENT, KATZ FINANCIAL, KINGSLEY ADVISORS, KUTZEN FINANCIAL, LITTLE & ASSOCIATES WEALTH MANAGEMENT, MAHON FINANCIAL, MATTHEWS FINANCIAL SERVICES, MICHAEL DALLAS RETIREMENT SOLUTIONS, MICHAEL DALLAS WEALTH MANAGEMENT, MILLER FINANCIAL SERVICES LLC, MONEY MATTERS 911, MOSSAKOWSKI & NICHOLS, MOSSAKOWSKI & NICHOLS WEALTH MANAGEMENT, LLC, MYERS INVESTMENT GROUP, INC., OPTIMA WEALTH MANAGEMENT, PITTSBURGH WEALTH MGMT GROUP, PLYMOUTH ROCK FINANCIAL PARTNERS, PRICE PERKINS LLC, PROMETHEUS WEALTH MANAGEMENT, PROSPERA FINANCIAL SERVICES, PROSPERA FINANCIAL SERVICES, INC., PROVIDENT STRATEGIES GROUP, PSE WEALTH MANAGEMENT, PYLE FINANCIAL SERVICES, REAGAN JAMES WEALTH ADVISORS, RICK WHITEHURST ASSET MANAGEMENT, SECURITY FIRST GROUP, SHAFRANEK, FLANAGAN, AND GREGORY, SILVA FINANCIAL GROUP, SILVER CREEK FINANCIAL GROUP, SOURE ROCK CAPITAL MANAGEMENT, STONEBRIDGE WEALTH MANAGEMENT, SUMMIT INVESTMENTS, TCA FINANCIAL GROUP, TESTA & ASSOCIATES LLC, TESTA & ASSOCIATES LLC, THE BISHOFF FINANCIAL GROUP, THE FINANCIAL MAESTRO, THE OPTIMA GROUP, THE RAGUSA GROUP, WAITS FINANCIAL GROUP, WATERS FINANCIAL, WEALTH RESOURCE CONNECTION, WEST TEXAS INDEPENDENT FINANCIAL SERVICES, WESTON BANKS, WILLIAMSON FINANCIAL GROUP, WOODS ASSOCIATES, WRAPMANAGER