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 |
|---|---|---|---|---|---|---|---|---|
| Jason Nicholson | 6287417 | 1 | 10/23/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walid Salim | 7718719 | 6 | 10/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Chui | 5534010 | 2 | 10/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Basenese | 4721418 | 4 | 10/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clarissa Iris Holmes | 4867991 | 2 | 10/22/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Moravchik | 4427014 | 4 | 10/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Randall Swank | 2706148 | 2 | 10/10/2019 | Customer Dispute | Denied | $4,000.00 | $0.00 | See FINRA Report |
| Christopher Lee Maxwell | 4213930 | 1 | 09/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Doreen Kramer | 2507970 | 2 | 09/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Libmann | 1323896 | 4 | 09/06/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |