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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Vincent Caruso | 704844 | 1 | 12/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Vincent Forktus | 1874830 | 2 | 06/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Chris S Stocks | 2600346 | 3 | 11/11/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Nunzio Rossi | 5283741 | 1 | 10/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Keith Kaplan | 2244085 | 2 | 03/25/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Duboise | 4553531 | 2 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Scott Lynn | 2190764 | 5 | 09/05/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shawn Quentin Sabelhaus | 3166110 | 2 | 06/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Byron Leonel Reyes | 2015796 | 2 | 04/26/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Troy Victor Hartman | 2936505 | 2 | 02/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |