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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Sean Flanagan | 2634538 | 4 | 08/18/2010 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kenneth Clayton Price | 2894885 | 1 | 08/13/2010 | Customer Dispute | Denied | $57,960.00 | $0.00 | See FINRA Report |
| Dennis Joseph Foegen | 2880552 | 1 | 08/02/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bryan Paul Bernard | 2066647 | 2 | 06/28/2010 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Albert May Alexander | 1934569 | 2 | 06/01/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Peter Stephens | 3041442 | 3 | 02/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Edward Lundy | 2891937 | 5 | 02/10/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rocky Steven Montgomery | 1574808 | 1 | 01/11/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Peter Stephens | 3041442 | 3 | 10/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Duboise | 4553531 | 2 | 10/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |