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 | 5 | 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 |
| 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 |
| Shawn Quentin Sabelhaus | 3166110 | 2 | 08/26/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 5 | 02/24/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Tom Arnett Jr. | 1080126 | 3 | 12/19/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Erik Edward Lundy | 2891937 | 5 | 04/17/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Anthony Charles Montanari | 3089483 | 1 | 01/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 5 | 12/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |