FINRA Awards for Prospera Financial Services.

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-00632	03/24/2022	Claimant(s): Andrew Pravlik Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prospera Financial Services. Respondent Lawyers(s): William M. Schmitt Arbitrator(s): Mark A. Sipper Hearing Site: Pittsburgh, PA
18-02320	07/02/2019	Claimant(s): Peter Covino Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, VSR Financial Services., Prospera Financial Services. Respondent Lawyers(s): Brian Harlan, Jeremy Carr, William M. Schmitt Arbitrator(s): Daniel B. MacLeod Hearing Site: Boise, ID
17-03220	01/09/2019	Claimant(s): Edward Jones Claimant Lawyers(s): Christopher A Pickett Respondent(s): Jay Slouffman, Prospera Financial Services. Respondent Lawyers(s): John Alten Arbitrator(s): Stephen P. Calardo, A. Brian McIntosh, David S. Blessing Hearing Site: Cincinnati, OH
16-00450	08/31/2017	Claimant(s): Prospera Financial Services. Claimant Lawyers(s): Niel Prosser Respondent(s): Alan Luttman Respondent Lawyers(s): Donald R. McNeil Arbitrator(s): David Evans Rosedahl, Kevin D. Hofman, Frederick Ramos Hearing Site: Minneapolis, MN