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 |
|---|---|---|---|---|---|---|---|---|
| David Lee Shafranek | 2919901 | 5 | 03/28/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kathleen M Gerhardt | 2691217 | 1 | 02/13/2014 | Customer Dispute | Settled | $72,200.00 | $0.00 | See FINRA Report |
| German V Hernandez | 5250417 | 1 | 02/03/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Poosch | 2490703 | 6 | 07/10/2013 | Customer Dispute | Settled | $5,807.65 | $0.00 | See FINRA Report |
| Michael Andrew Trethewey | 2964914 | 7 | 05/08/2013 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Clayton Wellington James | 4565333 | 1 | 12/18/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Amanda Jo Sheeder | 4818003 | 1 | 12/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James E Baltzersen | 4678631 | 1 | 05/07/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brendan Reed Lewis | 4018373 | 1 | 10/12/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Patrick McLanahan | 2356791 | 3 | 05/27/2011 | Customer Dispute | Denied | $770,095.00 | $0.00 | See FINRA Report |