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 |
|---|---|---|---|---|---|---|---|---|
| James Randy Smith | 719534 | 6 | 12/01/1988 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Mark Adam Eriksen | 2083621 | 1 | 04/29/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Wayne Lollis | 1194059 | 3 | 07/01/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roy Thompson Whiteman | 1324962 | 1 | 11/12/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| 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 |