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 |
|---|---|---|---|---|---|---|---|---|
| Brandon Jansma | 5483092 | 5 | 06/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Teena Marie Peachey | 2198198 | 1 | 04/30/1998 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Johnson Lim Go | 2388176 | 1 | 04/06/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Lamar Clark | 2831179 | 1 | 02/13/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Diane Harriet Arnstein | 2313882 | 7 | 01/29/1998 | Customer Dispute | Closed-No Action | $8,209.00 | $0.00 | See FINRA Report |
| Stephen Francis Murphy | 1005939 | 2 | 12/10/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Curtis Ray Bowersox | 1271106 | 6 | 10/21/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1942860 | 3 | 10/13/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Gitig | 1251293 | 2 | 10/10/1997 | Customer Dispute | Settled | $30,258.40 | $0.00 | See FINRA Report |
| Rosally Daniel | 6841934 | 1 | 09/29/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |