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 |
|---|---|---|---|---|---|---|---|---|
| Richard Dean Pascuzzi | 711548 | 24 | 10/20/1993 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Daniel Swift Edmunds | 1463989 | 2 | 09/13/1993 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Daniel Swift Edmunds | 1463989 | 2 | 07/21/1993 | Customer Dispute | Settled | $71,700.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 04/05/1993 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 03/27/1993 | Customer Dispute | Settled | $50,900.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 03/03/1993 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 01/22/1993 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 01/05/1993 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 12/01/1992 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 11/20/1992 | Customer Dispute | Settled | $259,000.00 | $0.00 | See FINRA Report |