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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Ann Thompson | 1591180 | 1 | 04/19/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Avelino Correia Andrade | 1129061 | 3 | 02/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian William McCully | 5718122 | 1 | 01/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ira Sherwin Neistein | 1011591 | 1 | 12/29/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cecilia Renee Horton-Williams | 7193059 | 1 | 12/06/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Allen Conway | 6805797 | 1 | 07/23/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Albert Bogart Brodbeck | 1066261 | 1 | 03/23/1995 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Craig Robert Forbes | 4109587 | 1 | 03/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Bernard Elliott | 5543231 | 1 | 03/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Shawn Roderick | 1678649 | 2 | 01/13/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |