Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Prospera Financial Services. If you suffered losses investing with Prospera Financial Services, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Prospera Financial Services (CRD# 10740) (SEC# 801-65845, 8-28164)
As of April 4, 2020, Prospera Financial Services’s FINRA BrokerCheck Report contains the following:
10 Regulatory Event Disclosures
3 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
5429 LBJ FREEWAY
SUITE 750
DALLAS, TX 75240
UNITED STATES
Mailing Address
5429 LBJ FREEWAY
SUITE 750
DALLAS, TX 75240
UNITED STATES
Business Telephone Number
972-581-3000
Direct Owners and Executive Officers
PROSPERA HOLDINGS, LLC, SHARE HOLDER
EDWARDS, TIM ALAN (CRD#:1569619), EXECUTIVE VICE PRESIDENT
GARCIA, ABEL JR (CRD#:2410254), CHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT – RISK MANAGEMENT
KERN, EDWARD (CRD#:4364143), CHIEF FINANCIAL OFFICER
PASCUZZI, RICHARD DEAN (CRD#:711548), EXECUTIVE VICE PRESIDENT & SECRETARY
STRINGER, DAVID WALTER (CRD#:1410548), PRESIDENT & TREASURER
WEST, JOHN PATRICK (CRD#:2633477), CHIEF OPERATING OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Prospera Financial Services and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
