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 | 07/10/2013 | Customer Dispute | Settled | $5,807.65 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 05/08/2013 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Clayton Wellington James | 4565333 | 1 | 12/18/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Brendan Reed Lewis | 4018373 | 1 | 10/12/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Patrick McLanahan | 2356791 | 3 | 05/27/2011 | Customer Dispute | Denied | $770,095.00 | $0.00 | See FINRA Report |
| Christopher Sean Flanagan | 2634538 | 4 | 08/18/2010 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kenneth Clayton Price | 2894885 | 1 | 08/13/2010 | Customer Dispute | Denied | $57,960.00 | $0.00 | See FINRA Report |
| Dennis Joseph Foegen | 2880552 | 1 | 08/02/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bryan Paul Bernard | 2066647 | 2 | 06/28/2010 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Albert May Alexander | 1934569 | 2 | 06/01/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |