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 |
|---|---|---|---|---|---|---|---|---|
| Brooks Black | 3237326 | 1 | 03/23/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peyvand Pourhosseini | 2725640 | 1 | 03/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Paul Cour | 6065894 | 6 | 01/27/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ann Scott Price | 5519238 | 1 | 10/25/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Martinez | 4966013 | 3 | 10/20/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven John Keane | 1560547 | 1 | 10/18/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Vollrath | 2807169 | 2 | 09/28/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Oberts | 2333954 | 1 | 02/25/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shuchen Fei | 2386618 | 2 | 07/01/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Dolphin | 1803825 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |