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 |
|---|---|---|---|---|---|---|---|---|
| Nicole Veni | 5207732 | 1 | 12/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Camille Andrea Lopez | 5921019 | 1 | 12/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew McCormack | 7793841 | 1 | 12/10/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fermon L Owens | 2144350 | 3 | 12/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy M Sassanella | 4379202 | 2 | 12/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jon Norman Bright | 6604863 | 1 | 12/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Renee Anita King | 7806431 | 3 | 11/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Seong-Wook Kim | 4613259 | 4 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kurt Arthur Schummer | 3272406 | 4 | 11/13/2019 | Customer Dispute | Settled | $11,770.30 | $0.00 | See FINRA Report |
| Margaret Larkin Jones | 5961724 | 8 | 10/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |