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 |
|---|---|---|---|---|---|---|---|---|
| Bryan Paul Bernard | 2066647 | 2 | 12/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris S Stocks | 2600346 | 4 | 06/18/2002 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Michael Keith Kaplan | 2244085 | 2 | 05/23/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Christopher Sean Flanagan | 2634538 | 4 | 05/08/2002 | Customer Dispute | Denied | $16,066.40 | $0.00 | See FINRA Report |
| David Arthur Brown | 1790478 | 1 | 03/11/2002 | Customer Dispute | Denied | $115,000.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 01/30/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Nelson Crook | 2715424 | 2 | 11/13/2001 | Customer Dispute | Settled | $228,005.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 10/01/2001 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 08/22/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 07/12/2001 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |