Defendant Name: Prospera Financial Services, Inc.

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Prospera Financial Services, Inc.
First Document Date 25-Aug-2016
Initial Filing Format Administrative Action
File Number 3-17494
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Sections 204(a), 206(4) Advisers Act; Rules 204-2(a)(16), 206(4)-1(a)(5) Advisers Act

Resolutions

First Resolution Date 25-Aug-2016
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-4498 25-Aug-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order

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