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 |
|---|---|---|---|---|---|---|---|---|
| Frank Henry Bullinger | 4376858 | 1 | 05/24/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| German V Hernandez | 5250417 | 1 | 02/03/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Gaspar | 5772487 | 2 | 05/31/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wesley Adam Shindler | 4116408 | 1 | 12/16/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra Trumble Ray | 2657160 | 2 | 09/01/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Adam Eriksen | 2083621 | 1 | 04/29/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Wayne Lollis | 1194059 | 3 | 07/01/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roy Thompson Whiteman | 1324962 | 1 | 11/12/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Fennema | 2579988 | 2 | 11/25/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |