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 |
|---|---|---|---|---|---|---|---|---|
| John Nelson Crook | 2715424 | 2 | 07/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Sean Flanagan | 2634538 | 4 | 03/12/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Brian Dysart | 2025271 | 2 | 01/22/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Lee Shafranek | 2919901 | 5 | 12/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 11/21/2014 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Richard Edward Fennema | 2579988 | 2 | 11/07/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ari Moshe Baum | 2936322 | 1 | 09/16/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joel Kirk Corbin | 2006191 | 1 | 07/25/2014 | Customer Dispute | Settled | $337,000.00 | $0.00 | See FINRA Report |
| Charles Leon Evans | 202828 | 2 | 07/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Lee Shafranek | 2919901 | 5 | 06/02/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |