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 |
|---|---|---|---|---|---|---|---|---|
| Bryan Keith Peppers | 1754846 | 2 | 07/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Shin | 6834197 | 2 | 07/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Scot Kazinec | 1726957 | 3 | 07/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Harold Gisleson | 3242487 | 1 | 06/25/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lori Kay Bebee | 2231647 | 1 | 06/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Russell Folsom | 1663446 | 1 | 06/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tran Tracy Luong | 5667946 | 1 | 06/14/2021 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Douglas Richard Strahle | 6565020 | 1 | 06/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edwin Justin Gooding | 6775062 | 2 | 06/07/2021 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Joseph Wesley Forte | 2099222 | 3 | 05/24/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |