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 |
|---|---|---|---|---|---|---|---|---|
| Erik Edward Lundy | 2891937 | 5 | 04/17/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Anthony Charles Montanari | 3089483 | 1 | 01/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 6 | 12/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Michael Hollingsworth | 702767 | 1 | 09/19/2016 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Ralph John Fetrow | 3192637 | 1 | 09/03/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Byron Leonel Reyes | 2015796 | 2 | 05/19/2016 | Customer Dispute | Settled | $128,000.00 | $0.00 | See FINRA Report |
| David Lee Shafranek | 2919901 | 5 | 04/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Leon Evans | 202828 | 2 | 04/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee Shafranek | 2919901 | 5 | 11/20/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Brian Dysart | 2025271 | 2 | 10/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |