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 | 07/27/1992 | Customer Dispute | Settled | $70,250.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 05/15/1992 | Customer Dispute | Settled | $127,500.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 06/05/1991 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 06/03/1991 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 03/01/1991 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 01/25/1991 | Customer Dispute | Settled | $118,071.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 12/01/1990 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 11/28/1990 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 01/11/1990 | Customer Dispute | Settled | $103,085.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 12/01/1988 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |