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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| David Walton Lummus | 2802260 | 1 | 04/24/2001 | Customer Dispute | Denied | $21,812.00 | $0.00 | See FINRA Report |
| John Edward Mayeux | 2303859 | 1 | 12/02/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Carol Ann Scatolini | 2662328 | 2 | 07/28/2000 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 02/19/1999 | Customer Dispute | Denied | $41,958.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 6 | 07/22/1998 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |