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 |
|---|---|---|---|---|---|---|---|---|
| Zachary Murray Adams | 6825658 | 1 | 10/05/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Thomas Dowling | 7259839 | 1 | 10/02/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Anthony Faith | 2361256 | 5 | 09/17/2003 | Customer Dispute | Settled | $9,412.38 | $0.00 | See FINRA Report |
| Scott Allen Brent | 2928797 | 5 | 09/15/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gaurang Bhailal Parikh | 1191383 | 2 | 09/11/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Louis Brohawn | 2202748 | 1 | 08/28/2003 | Customer Dispute | Settled | $14,436.30 | $0.00 | See FINRA Report |
| Diane Laura Brennan | 4231314 | 1 | 08/04/2003 | Regulatory | Final | $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 |
| Charles Russell Taylor | 6778755 | 1 | 07/04/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Thomas Pascoe | 2003524 | 5 | 06/27/2003 | Customer Dispute | Settled | $24,462.80 | $0.00 | See FINRA Report |