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 |
|---|---|---|---|---|---|---|---|---|
| Steve Francis Ricci | 1772842 | 1 | 08/19/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Paul Connell | 1467000 | 1 | 07/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph McHugh | 1496482 | 2 | 05/23/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Brown | 5019492 | 1 | 05/02/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Irving Louis Rosenbloom | 1161752 | 1 | 01/17/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Lamont Moore | 2243347 | 1 | 01/09/1997 | Customer Dispute | Award / Judgment | $64,807.00 | $52,997.00 | See FINRA Report |
| Anthony Jesus Capella | 2067540 | 2 | 12/24/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hung Manh Huynh | 6864444 | 1 | 11/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julie Ann Stalla | 1839755 | 1 | 10/21/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Janice Ann Turek-Greene | 1249635 | 1 | 05/07/1996 | Customer Dispute | Award / Judgment | $6,750.00 | $2,760.00 | See FINRA Report |