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Patsy Turrentine Voluntarily Resigned from Prospera Financial Services

Patsy Turrentine (CRD #: 714401) voluntarily resigned from Prospera Financial Services. This disclosure appeared on her BrokerCheck record, accessed on July 12, 2024. Keep reading if you have questions regarding her alleged conduct. 

Employment Separation After Allegations 

On May 9, 2024, Patsy Turrentine voluntarily resigned following an internal review concerning potential trading policy violations. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Trading policy violations may violate this rule. 

Background Information 

Patsy Turrentine has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 99TO Operations Professional Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 
  • Series 8 General Securities Sales Supervisor Examination (Options Module & General Module)

During his 41 years of experience, Patsy Turrentine has registered with eight firms: 

  • Prospera Financial Services (CRD #: 10740) 
  • Rodman & Renshaw (CRD #: 724) 
  • Bear, Stearns & Co. (CRD #: 79) 
  • Rauscher Pierce Refsnes (CRD #: 6663) 
  • Dean Witter Reynolds (CRD #: 7556) 
  • GNA Securities (CRD #: 10465) 
  • Prudential-Bache Securities (CRD #: 7471) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help 

If you have worked with Patsy Turrentine and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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