JOHN DARCY BECKER is currently employed as a Broker and/or Investment Adviser at PROSPERA FINANCIAL SERVICES, INC. located at 1245 West Causeway Blvd, Mandeville, LA, 70471.
JOHN DARCY BECKER has worked at PROSPERA FINANCIAL SERVICES, INC. since November 27, 2017
Disclosure History
JOHN DARCY BECKER has 2 Disclosure Event(s).
Date: November 14, 2017 Category: Employment Separation After Allegations Firm Name: M Holding Securities, Inc. Termination Type: Discharged Allegations: A fund company notified the Firm that it had received a letter of authorization from an individual who had been deceased for more than nine years. The Firm conducted an onsite exam of the branch and reviewed accounts generated to verify no other account had remained open wherein the client was deceased. Reviews of Annual Compliance Questionnaires completed by all branch registered representatives were conducted
Date: May 27, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES RR FAILED TO INVEST FUNDS, AND AS A RESULT CLIENT LOST OUT ON MARKET IMPROVEMENT. Damage Amount Requested: $770,094.74 Broker Comment: COMPLAINT ALLEGING RR FAILED TO INVEST FUNDS, AND AS A RESULT CLIENT LOST OUT ON MARKET IMPROVEMENT WAS DENIED BECAUSE CLIENT CHOSE NOT TO TRANSFER ASSETS FOR INVESTMENT OR OTHERWISE FOLLOW RR INVESTMENT ADVICE
More Information
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