Harlan Cardwell III (Tra Cardwell) Prospera Financial Services Financial in Vernon, Texas
According to the The Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred ex-Prospera Financial Services advisor, Harlan Cardwell III in all capacities on May 3, 2019 after he failed to respond to FINRA’s December 14, 2018 request for information relating to his November 29, 2018 termination from his firm. He also reportedly failed to respond to two Notice of Suspension letters from the regulator.
According to his broker report, Cardwell was reportedly affiliated with Prospera Financial Services Financial Services in Vernon, Texas from 2004 to 2018 until he was reportedly discharged for “Violation of firm policy and procedure regarding accepting loans from a client.”
Investigating Potential Lawsuits
Prospera Financial Services and all brokerage firms have a responsibility to adequately supervise its employees. They must ensure the necessary procedures and systems to detect misconduct.
If you are concerned about your investments with Harlan Cardwell III (Tra Cardwell) and Prospera Financial Services, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois.
For more information on The White Law Group, and its representation of investors, please visit WhiteSecuritiesLaw.com.
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