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 |
---|---|---|---|---|---|---|---|---|
Richard Edward Fennema | 2579988 | 2 | 11/25/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
George Wayne Lollis | 1194059 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |