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 |
|---|---|---|---|---|---|---|---|---|
| John Nelson Crook | 2715424 | 2 | 11/13/2001 | Customer Dispute | Settled | $228,005.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 10/01/2001 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 08/22/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 07/12/2001 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Chris S Stocks | 2600346 | 4 | 06/19/2001 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| David Walton Lummus | 2802260 | 1 | 04/24/2001 | Customer Dispute | Denied | $21,812.00 | $0.00 | See FINRA Report |
| John Edward Mayeux | 2303859 | 1 | 12/02/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Dale Stein | 722335 | 2 | 09/26/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Danny James Chapman | 1171703 | 1 | 09/25/2000 | Customer Dispute | Award / Judgment | $28,925.00 | $4,693.94 | See FINRA Report |
| Carol Ann Scatolini | 2662328 | 2 | 07/28/2000 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |