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FINRA Awards for Prospera Financial Services.

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0288904/06/2016Claimant(s): Rodney Hell
Claimant Lawyers(s): Christian Sande
Respondent(s): Alan Luttman, Joni Spaeth, Michael Braddy, Roger Hubley, NetWorth Asset Management., Prospera Financial Services.
Respondent Lawyers(s): Christopher B. Trowbridge, Elizabeth P. Ridley, Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
13-0199709/25/2014Claimant(s): Brad Nord, Cheryl Nord, Nord Cos. Inc., Bradley S. Nord IRA
Claimant Lawyers(s): Brad Nord
Respondent(s): Anthony Bauer, Berthel, Fisher & Company Financial Serv, Prospera Financial Services.
Respondent Lawyers(s): Cory D. Olsen, Jeff I. Nicodemus
Arbitrator(s): Douglas J. Nesbit, Robert Lee Nelson, Steven Eric Brandes
Hearing Site: Minneapolis, MN
Checkmark Icon$0

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