DAVID RAY OAKES is currently employed as a Broker and/or Investment Adviser at PROSPERA FINANCIAL SERVICES, INC. located at 5429 LBJ FREEWAY, SUITE 400, DALLAS, TX, 75240.
DAVID RAY OAKES has worked at PROSPERA FINANCIAL SERVICES, INC. since March 08, 2018
Disclosure History
DAVID RAY OAKES has 2 Disclosure Event(s).
Date: February 15, 2018 Category: Employment Separation After Allegations Firm Name: Wells Fargo Clearing Services, LLC. Termination Type: Discharged Allegations: The firm reviewed multiple cash deposits made by Mr. Oakes into his personal Bank account in amounts under $10,000. This activity was not client or securities related.
Date: July 06, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MISREPRESENTED THE TERMS OF HER JULY 27,1992 PURCHASE OF KRUPP GOVERNMENT INCOME TRUST II Damage Amount Requested: $36,943.00 Broker Comment: CLAIM DENIED WITHOUT MERIT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DAVID RAY OAKES, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.