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 |
|---|---|---|---|---|---|---|---|---|
| Erik Edward Lundy | 2891937 | 5 | 04/17/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 11/21/2014 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 05/08/2013 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Dennis Joseph Foegen | 2880552 | 1 | 08/02/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joshua Michael Howell | 2689484 | 1 | 11/03/2008 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Stephen R Crone | 2091574 | 2 | 09/06/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ricki Joseph Wilson | 1355229 | 2 | 09/06/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen R Crone | 2091574 | 2 | 10/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ricki Joseph Wilson | 1355229 | 2 | 10/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason Leon Steele | 2674860 | 1 | 07/23/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |