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 |
|---|---|---|---|---|---|---|---|---|
| Tamekia Yolanda Thompson | 4758361 | 1 | 07/27/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Chester Albritton | 1562005 | 1 | 04/25/2000 | Customer Dispute | Settled | $899,925.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 03/30/2000 | Customer Dispute | Pending | $83,000.00 | $0.00 | See FINRA Report |
| Jonathan Dale Stein | 722335 | 2 | 02/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Randy Smith | 719534 | 6 | 02/19/1999 | Customer Dispute | Denied | $41,958.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 09/16/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 08/21/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 6 | 07/22/1998 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 05/28/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gail M MacKler-Carlino | 1340615 | 9 | 04/20/1998 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |