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 |
|---|---|---|---|---|---|---|---|---|
| Gail M MacKler-Carlino | 1340615 | 9 | 04/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Walter Stringer | 1410548 | 2 | 06/20/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Albert May Alexander | 1934569 | 2 | 04/10/1997 | Customer Dispute | Settled | $167,830.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 08/30/1994 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 07/22/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 06/22/1994 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 10/21/1993 | Customer Dispute | Settled | $10,779.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 10/21/1993 | Customer Dispute | Settled | $5,775.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 10/20/1993 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Daniel Swift Edmunds | 1463989 | 2 | 09/13/1993 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |