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 |
|---|---|---|---|---|---|---|---|---|
| Dylan Frawley | 7748507 | 1 | 01/24/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Eugene Friedrichsen | 2774629 | 6 | 01/19/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jesus Saenz | 7432753 | 3 | 01/17/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shobhna D Rana | 6056179 | 1 | 01/11/2023 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Bishop | 2879349 | 3 | 01/10/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Andrew Valentine | 2334877 | 9 | 12/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Andrew Valentine | 2334877 | 9 | 12/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Willis | 7797606 | 4 | 12/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Davis | 3224197 | 1 | 12/08/2022 | Customer Dispute | Award / Judgment | $19,331.00 | $45,000.00 | See FINRA Report |
| Linda Rae Loring | 2560965 | 5 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |