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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Peter Stephens | 3041442 | 3 | 11/15/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerard Thaddeus Taylor | 1748899 | 3 | 10/10/2006 | Customer Dispute | Settled | $201,000.00 | $0.00 | See FINRA Report |
| Stephen R Crone | 2091574 | 2 | 09/06/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ricki Joseph Wilson | 1355229 | 2 | 09/06/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Shane Goff | 3111858 | 1 | 05/23/2006 | Customer Dispute | Dismissed | $30,000.00 | $0.00 | See FINRA Report |
| Konstantin Richard Danias | 2128548 | 2 | 05/19/2006 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Carol Ann Scatolini | 2662328 | 2 | 04/26/2006 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| David Lawrence Williams | 727298 | 1 | 12/12/2005 | Regulatory | Final | $0.00 | $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 |