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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Donald Poosch | 2490703 | 5 | 07/10/2013 | Customer Dispute | Settled | $5,807.65 | $0.00 | See FINRA Report |
| Clayton Wellington James | 4565333 | 1 | 12/18/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Christopher Sean Flanagan | 2634538 | 4 | 08/18/2010 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Rocky Steven Montgomery | 1574808 | 1 | 01/11/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Loerke | 3215542 | 1 | 03/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Sean Flanagan | 2634538 | 4 | 03/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerard Thaddeus Taylor | 1748899 | 2 | 10/10/2006 | Customer Dispute | Settled | $201,000.00 | $0.00 | See FINRA Report |
| Konstantin Richard Danias | 2128548 | 2 | 05/19/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 09/08/2005 | Customer Dispute | Settled | $14,822.90 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 07/12/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |