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 |
|---|---|---|---|---|---|---|---|---|
| Kurtis Trenton Neeld | 6973689 | 1 | 07/02/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Dauer | 4862901 | 2 | 06/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melvin Adolf Goss | 2001949 | 2 | 06/28/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Guarino | 1626169 | 8 | 06/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Martha Anne Haley Byrd | 7338800 | 2 | 06/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel-Jeanluc Constant | 7679204 | 1 | 06/15/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bona Yu | 6272645 | 1 | 06/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Salim | 7718719 | 6 | 06/03/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua Ray Lindamood | 7745036 | 1 | 06/01/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martha Anne Haley Byrd | 7338800 | 2 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |