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 |
|---|---|---|---|---|---|---|---|---|
| Michael Andrew Trethewey | 2964914 | 7 | 03/10/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carl Michael Williams | 1721736 | 1 | 03/02/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Stephen Robert Schuller | 1848867 | 1 | 02/24/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 7 | 12/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Scott Lynn | 2190764 | 7 | 12/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Scott Lynn | 2190764 | 7 | 12/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Vincent Caruso | 704844 | 1 | 12/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Donald Poosch | 2490703 | 6 | 08/01/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Wilfred Carter | 1396981 | 4 | 06/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Vincent Forktus | 1874830 | 2 | 06/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |