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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Donald Poosch | 2490703 | 6 | 06/17/2024 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Ned Anthony Chatelain | 4192942 | 1 | 05/13/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Gerard Thaddeus Taylor | 1748899 | 3 | 12/06/2023 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Carl Michael Williams | 1721736 | 1 | 03/02/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 6 | 08/01/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Ryan R Hyslop | 5693941 | 1 | 01/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John P Cervantes | 4039372 | 2 | 07/29/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Katrina Kerr Hayes | 870949 | 1 | 07/29/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Shawn Quentin Sabelhaus | 3166110 | 2 | 08/26/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 04/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |