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 |
|---|---|---|---|---|---|---|---|---|
| James Lee McAllister | 1571682 | 2 | 10/04/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J Kane | 4919441 | 1 | 08/31/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Randall Swank | 2706148 | 2 | 11/18/1999 | Customer Dispute | Denied | $7,385.94 | $0.00 | See FINRA Report |
| Randy Lee Husman | 801145 | 5 | 11/17/1999 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Moe Javantash | 6820499 | 1 | 10/20/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Gerald Mihlbachler | 2830719 | 1 | 10/01/1999 | Customer Dispute | Settled | $31,244.00 | $0.00 | See FINRA Report |
| Ramona Irene Stoltz | 2564408 | 3 | 09/21/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason Kirby Franklin | 5899627 | 2 | 07/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anestis John Diakopoulos | 2962908 | 1 | 07/02/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Patricio Hanna | 1863155 | 1 | 06/18/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |