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 |
|---|---|---|---|---|---|---|---|---|
| C Anderson Cooper | 1025450 | 4 | 03/03/2009 | Customer Dispute | Denied | $400,000.00 | $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 |
| Gerard Thaddeus Taylor | 1748899 | 2 | 08/13/2008 | Customer Dispute | Denied | $75,386.00 | $0.00 | See FINRA Report |
| Thomas Helm Jones | 1041651 | 2 | 05/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carol Ann Scatolini | 2662328 | 2 | 04/26/2006 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 10/08/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tom Arnett Jr. | 1080126 | 3 | 01/24/2003 | Customer Dispute | Denied | $123,967.00 | $0.00 | See FINRA Report |
| Erik Edward Lundy | 2891937 | 5 | 01/03/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bryan Paul Bernard | 2066647 | 2 | 12/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |