{"id":2971,"date":"2015-08-14T00:00:00","date_gmt":"2015-08-14T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/fined-and-suspended-by-finra-douglas-j-dannhardt-of-prospera-financial-services-inc\/"},"modified":"2015-08-14T00:00:00","modified_gmt":"2015-08-14T04:00:00","slug":"fined-and-suspended-by-finra-douglas-j-dannhardt-of-prospera-financial-services-inc","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/fined-and-suspended-by-finra-douglas-j-dannhardt-of-prospera-financial-services-inc\/","title":{"rendered":"Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc."},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Fined-and-Suspended-by-FINRA.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1697\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Fined-and-Suspended-by-FINRA-1024x680.jpg\" alt=\"Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc.\" width=\"1024\" height=\"680\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Fined-and-Suspended-by-FINRA-1024x680.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Fined-and-Suspended-by-FINRA-300x199.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a>Broker faces $25,000 fine and 9 month suspension for excessive trading<\/h2>\n<\/p>\n<p>As a broker in the securities industry for over 29 years, Douglas J. Dannhardt recently settled a FINRA disciplinary action relating to allegations of excessive trading in a customer\u2019s account.<\/p>\n<p>According to the <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/1277814\"  target=\"_blank\">FINRA BrokerCheck website<\/a>, Dannhardt\u2019s first disclosure event was a customer dispute in June 2012 in which the claimants alleged Dannhardt excessively traded within their accounts, made unsuitable investments, breached their contract, breached his fiduciary duty and failed to supervise their interests. The claim was ultimately settled for $300,000.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/fined-and-suspended-by-finra-douglas-j-dannhardt-of-prospera-financial-services-inc\/\"  title=\"Continue Reading Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc.\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Broker faces $25,000 fine and 9 month suspension for excessive trading As a broker in the securities industry for over 29 years, Douglas J. Dannhardt recently settled a FINRA disciplinary action relating to allegations of excessive trading in a customer\u2019s account. According to the FINRA BrokerCheck website, Dannhardt\u2019s first disclosure event was a customer dispute [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[17],"class_list":["post-2971","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-fined-and-suspended-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc. &#8212; Securities Arbitration Lawyers Blog &#8212; August 14, 2015<\/title>\n<meta name=\"description\" content=\"Check this Blog on Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc. on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/fined-and-suspended-by-finra-douglas-j-dannhardt-of-prospera-financial-services-inc\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc. &#8212; Securities Arbitration Lawyers Blog &#8212; August 14, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Check this Blog on Fined and Suspended by FINRA: Douglas J. 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