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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gail M MacKler-Carlino | 1340615 | 9 | 04/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Walter Stringer | 1410548 | 2 | 06/20/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Albert May Alexander | 1934569 | 2 | 04/10/1997 | Customer Dispute | Settled | $167,830.00 | $0.00 | See FINRA Report |
| Sandra Trumble Ray | 2657160 | 2 | 09/30/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley Adam Shindler | 4116408 | 1 | 12/16/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra Trumble Ray | 2657160 | 2 | 09/01/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lyman Oscar Heidtke | 241752 | 3 | 04/10/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 08/30/1994 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 07/22/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Richard Dean Pascuzzi | 711548 | 24 | 06/22/1994 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |