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 |
|---|---|---|---|---|---|---|---|---|
| Erik Edward Lundy | 2891937 | 5 | 01/03/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 12/11/2002 | Customer Dispute | Denied | $260,000.00 | $0.00 | See FINRA Report |
| Bryan Paul Bernard | 2066647 | 2 | 12/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris S Stocks | 2600346 | 4 | 06/18/2002 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Matthew Gaspar | 5772487 | 2 | 05/31/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Keith Kaplan | 2244085 | 2 | 05/23/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Christopher Sean Flanagan | 2634538 | 4 | 05/08/2002 | Customer Dispute | Denied | $16,066.40 | $0.00 | See FINRA Report |
| John P Cervantes | 4039372 | 2 | 04/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Arthur Brown | 1790478 | 1 | 03/11/2002 | Customer Dispute | Denied | $115,000.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 01/30/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |