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 |
|---|---|---|---|---|---|---|---|---|
| Katrina Kerr Hayes | 870949 | 1 | 07/29/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John P Cervantes | 4039372 | 2 | 07/29/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tom Arnett Jr. | 1080126 | 3 | 12/19/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Anthony Charles Montanari | 3089483 | 1 | 01/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 5 | 12/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Michael Hollingsworth | 702767 | 1 | 09/19/2016 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Byron Leonel Reyes | 2015796 | 2 | 05/19/2016 | Customer Dispute | Settled | $128,000.00 | $0.00 | See FINRA Report |
| Joel Kirk Corbin | 2006191 | 1 | 07/25/2014 | Customer Dispute | Settled | $337,000.00 | $0.00 | See FINRA Report |
| David Lee Shafranek | 2919901 | 5 | 06/02/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kathleen M Gerhardt | 2691217 | 1 | 02/13/2014 | Customer Dispute | Settled | $72,200.00 | $0.00 | See FINRA Report |