Our Staff has compiled our research into a database of FINRA Broker Disclosures for Prospera Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Scott Lynn | 2190764 | 5 | 12/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Vincent Caruso | 704844 | 1 | 12/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Donald Poosch | 2490703 | 5 | 08/01/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 06/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Vincent Forktus | 1874830 | 2 | 06/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan R Hyslop | 5693941 | 1 | 01/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris S Stocks | 2600346 | 3 | 11/11/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Nunzio Rossi | 5283741 | 1 | 10/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Katrina Kerr Hayes | 870949 | 1 | 07/29/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John P Cervantes | 4039372 | 2 | 07/29/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |