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 |
|---|---|---|---|---|---|---|---|---|
| Rocky Steven Montgomery | 1574808 | 1 | 01/11/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Peter Stephens | 3041442 | 3 | 10/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Duboise | 4553531 | 2 | 10/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Alan Perkins | 4799630 | 1 | 04/09/2009 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Troy Victor Hartman | 2936505 | 2 | 01/23/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Erik Edward Lundy | 2891937 | 5 | 01/02/2009 | Customer Dispute | Denied | $40,168.20 | $0.00 | See FINRA Report |
| Joshua Michael Howell | 2689484 | 1 | 11/03/2008 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Gerard Thaddeus Taylor | 1748899 | 3 | 08/13/2008 | Customer Dispute | Denied | $75,386.00 | $0.00 | See FINRA Report |
| Linda Jane Barriger | 1379980 | 1 | 07/28/2008 | Customer Dispute | Award / Judgment | $2,000,000.00 | $525,000.00 | See FINRA Report |
| Christopher Sean Flanagan | 2634538 | 4 | 03/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |