FINRA Suspends Patsy Turrentine for Alleged Failure to Provide Information

Patsy Turrentine (CRD #: 714401) voluntarily resigned from Prospera Financial Services. This disclosure appeared on her BrokerCheck record, accessed on September 7, 2025. Keep reading if you have questions regarding her alleged conduct.

FINRA Suspension

On June 16, 2025, Patsy Turrentine received a Letter of Suspension from FINRA alleging that she failed to respond to requests for information. Her suspension took effect on July 10, 2025, and will continue until the requested information is provided or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months are permanently barred.

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 her 45 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.