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 |
|---|---|---|---|---|---|---|---|---|
| Patrick John Adams | 5461474 | 1 | 03/18/2021 | Customer Dispute | Settled | $12,846.00 | $0.00 | See FINRA Report |
| Erika G Galen | 7483982 | 1 | 03/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Scot Kazinec | 1726957 | 3 | 02/03/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Melvin Adolf Goss | 2001949 | 2 | 02/01/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jacob Valentine Hoffmann | 6107256 | 3 | 02/01/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alexander Shedleski | 2231290 | 3 | 01/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arun Rajaram | 6443234 | 1 | 01/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Salim | 7718719 | 6 | 01/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pornnipa Pongvitayapanu | 2524090 | 1 | 01/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yuemei Sun | 5760775 | 2 | 12/23/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |