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 |
|---|---|---|---|---|---|---|---|---|
| Robert Petropoulos | 1541317 | 1 | 10/01/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Curtis Ray Bowersox | 1271106 | 6 | 09/24/2002 | Customer Dispute | Settled | $9,704.52 | $0.00 | See FINRA Report |
| Shulem Westerman | 1271831 | 2 | 09/12/2002 | Customer Dispute | Denied | $16,521.00 | $0.00 | See FINRA Report |
| Daniel Christopher Duren | 1534043 | 2 | 09/06/2002 | Customer Dispute | Settled | $22,110.30 | $0.00 | See FINRA Report |
| Todd Roger Holmes | 1554054 | 1 | 08/29/2002 | Customer Dispute | Denied | $7,360.91 | $0.00 | See FINRA Report |
| Michael John Libmann | 1323896 | 4 | 08/26/2002 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| John Joseph Cobb | 1857567 | 2 | 08/26/2002 | Customer Dispute | Denied | $7,790.62 | $0.00 | See FINRA Report |
| John Anthony Faith | 2361256 | 5 | 08/12/2002 | Customer Dispute | Denied | $7,899.58 | $0.00 | See FINRA Report |
| Francis Xavier Zimmermann | 1060031 | 4 | 08/02/2002 | Customer Dispute | Settled | $6,374.85 | $0.00 | See FINRA Report |
| Ralph Paul Bathanti | 1071381 | 2 | 07/24/2002 | Customer Dispute | Denied | $14,121.60 | $0.00 | See FINRA Report |