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 |
|---|---|---|---|---|---|---|---|---|
| Linda Mary Fogle | 2794310 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Nicole Lovell | 6942102 | 2 | 08/28/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gerry Pak | 6054452 | 2 | 08/19/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua Heath Barnard | 2917150 | 1 | 08/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Duncan McCarthy | 7321967 | 2 | 08/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel A Karp | 1730355 | 2 | 07/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Avachai Tayjasanant | 2526513 | 1 | 07/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |