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 |
|---|---|---|---|---|---|---|---|---|
| Barry James Gilrane | 3088659 | 1 | 01/21/2022 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Kenneth Alexander Shedleski | 2231290 | 3 | 12/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fermon L Owens | 2144350 | 3 | 12/17/2021 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Nader Taghavi | 1967602 | 2 | 11/26/2021 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Craig Eugene Friedrichsen | 2774629 | 6 | 11/22/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Barbara Kaye Janik | 2380604 | 1 | 11/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolina Pamintuan Tanjutco | 5565044 | 2 | 11/15/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason S Yang | 6610405 | 1 | 11/02/2021 | Customer Dispute | Denied | $7,200.00 | $0.00 | See FINRA Report |
| Janice C Uberecken | 2341262 | 2 | 10/22/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Dominick Comella | 7825259 | 1 | 10/20/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |