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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Scott Raymond | 2986691 | 3 | 12/28/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Panfil | 2198861 | 1 | 12/09/2004 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Warren Foster Brewer | 4581383 | 2 | 12/06/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Crystal Rachelle Dickerson | 6621054 | 2 | 12/01/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Fitzgerald | 1686806 | 1 | 11/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Gitig | 1251293 | 2 | 11/16/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leo Atma Alam | 1871658 | 2 | 11/16/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dagmawe Girma | 5667432 | 1 | 10/01/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew G Affa | 2191840 | 1 | 09/29/2004 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Howard Shuldiner | 2639423 | 1 | 09/14/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |