Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pruco Securities, Llc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Gaurang Bhailal Parikh | 1191383 | 2 | 09/11/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sharon Elizabeth Brimmer | 2111333 | 1 | 07/21/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Edward Hickey | 2034994 | 2 | 03/19/2003 | Customer Dispute | Closed-No Action | $12,859.50 | $0.00 | See FINRA Report |
| Luis Daniel Negron | 2758900 | 5 | 09/04/2001 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| John Edward Miller | 2198435 | 1 | 08/06/2001 | Customer Dispute | Closed-No Action | $45,709.40 | $0.00 | See FINRA Report |
| Thomas Alan Hoyt | 1554087 | 1 | 07/13/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Schiavo | 1164805 | 2 | 06/30/1998 | Customer Dispute | Closed-No Action | $9,767.87 | $0.00 | See FINRA Report |
| Diane Harriet Arnstein | 2313882 | 7 | 01/29/1998 | Customer Dispute | Closed-No Action | $8,209.00 | $0.00 | See FINRA Report |
| Curtis Ray Bowersox | 1271106 | 6 | 10/21/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steve Francis Ricci | 1772842 | 1 | 08/19/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |