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 Keith Kaplan | 2244085 | 2 | 03/25/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Duboise | 4553531 | 2 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Fremont Thorndike | 1284070 | 2 | 10/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Patrick McLanahan | 2356791 | 3 | 07/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Henry Bullinger | 4376858 | 1 | 05/24/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Ray Oakes | 1465154 | 4 | 03/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jodi Hilary Maples | 4884649 | 1 | 11/13/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Bobby Joe Boyd | 2268163 | 2 | 10/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Scott Lynn | 2190764 | 5 | 09/05/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Ray Oakes | 1465154 | 4 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |