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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Speicher | 3182318 | 1 | 05/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 5 | 04/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 5 | 04/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Lynn | 2190764 | 5 | 02/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Quentin Sabelhaus | 3166110 | 2 | 08/26/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shawn Quentin Sabelhaus | 3166110 | 2 | 06/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Byron Leonel Reyes | 2015796 | 2 | 04/26/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Donald Poosch | 2490703 | 5 | 02/24/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Troy Victor Hartman | 2936505 | 2 | 02/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Ray Oakes | 1465154 | 4 | 02/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |