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 |
|---|---|---|---|---|---|---|---|---|
| Carl David Isaac | 1956375 | 3 | 04/24/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Paul Guenther | 1673462 | 3 | 03/02/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Robert Randall Swank | 2706148 | 2 | 11/18/1999 | Customer Dispute | Denied | $7,385.94 | $0.00 | See FINRA Report |
| Edward Ray Newman | 1580834 | 1 | 09/29/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Teena Marie Peachey | 2198198 | 1 | 04/30/1998 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Stephen Francis Murphy | 1005939 | 2 | 12/10/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1942860 | 3 | 10/13/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |