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 |
|---|---|---|---|---|---|---|---|---|
| Chris S Stocks | 2600346 | 4 | 07/23/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Gail M MacKler-Carlino | 1340615 | 9 | 06/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Donald Poosch | 2490703 | 6 | 06/17/2024 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| David R Chapman | 5135813 | 1 | 06/04/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ned Anthony Chatelain | 4192942 | 1 | 05/13/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Nicholas Anthony Cipriano | 5366684 | 1 | 04/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerard Thaddeus Taylor | 1748899 | 3 | 12/06/2023 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 05/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Gaspar | 5772487 | 2 | 05/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomas Beard | 6118620 | 1 | 04/15/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |