Investors potentially experienced sales practice violations by securities broker John Prokos Jr. [CRD: 1553091, Boca Raton, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Prokos worked for LPL Financial LLC beginning September 1, 2020, and previously worked for Lucia Securities LLC from September 9, 2011, to October 5, 2020, as well as Lucia Capital Group from April 9, 2010, to October 5, 2020. Read on to find out more about John Prokos’s disclosures.
Specifically, a client filed a complaint about John Prokos. Primarily, the client alleged that Prokos made unsuitable recommendations. For this reason, the client allegedly sustained damages related to REITs. Consequently, on August 19, 2024, Lucia Securities LLC settled this matter by paying the client $12,500 in damages.
Also, a client of Lucia Securities LLC contested John Prokos’s sales practices, according to a complaint dated June 12, 2021. Allegedly, Prokos made unsuitable recommendations. Allegeldy, potential risks of illiquidity were not disclosed. It appears that Prokos allegedly caused the client to sustain damages linked to real estate securities. As a result, the client sought compensation from Lucia Securities LLC or Prokos in this matter. However, the firm denied this complaint.
Do you have concerns or questions regarding investments you made with John Prokos? You can contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers represent investors on a contingency fee arrangement and advance all costs. Prokos and brokerage firms Prokos worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com