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 |
|---|---|---|---|---|---|---|---|---|
| David Watts McMahan | 3078266 | 1 | 05/12/2005 | Customer Dispute | Award / Judgment | $123,000.00 | $77,000.00 | See FINRA Report |
| Stephen R Crone | 2091574 | 2 | 10/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ricki Joseph Wilson | 1355229 | 2 | 10/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 10/08/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Nathaniel Johnson | 2144489 | 1 | 05/21/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Randy Smith | 719534 | 6 | 08/01/2003 | Customer Dispute | Settled | $198,496.00 | $0.00 | See FINRA Report |
| Jason Leon Steele | 2674860 | 1 | 07/23/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| George Wayne Lollis | 1194059 | 3 | 02/27/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erik Edward Lundy | 2891937 | 5 | 01/12/2003 | Customer Dispute | Award / Judgment | $29,000.00 | $100,000.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 01/10/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |