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 |
|---|---|---|---|---|---|---|---|---|
| Christopher S Maienshein | 5826375 | 1 | 08/15/2019 | Customer Dispute | Settled | $51,512.00 | $0.00 | See FINRA Report |
| Nathan Michael Badowski | 4198119 | 4 | 08/15/2019 | Customer Dispute | Settled | $51,512.00 | $0.00 | See FINRA Report |
| Jay Randall Kimball | 5084444 | 3 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Janice C Uberecken | 2341262 | 2 | 08/01/2019 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Dillon Broderick | 5809282 | 2 | 07/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hiten R Sheth | 5974961 | 1 | 07/22/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Love | 2127851 | 2 | 07/17/2019 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Diane Harriet Arnstein | 2313882 | 7 | 07/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Allan Bruce Garshman | 2468786 | 1 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robby Edward Ammons | 4278581 | 1 | 07/15/2019 | Customer Dispute | Settled | $7,192.00 | $0.00 | See FINRA Report |