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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Renard Wilson | 4533681 | 5 | 03/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexander Matthew Parker | 6371175 | 1 | 03/11/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Russell Terrance Wolf | 4679079 | 1 | 03/08/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roderick T Parham | 2825204 | 1 | 03/06/2019 | Customer Dispute | Settled | $5,203.21 | $0.00 | See FINRA Report |
| Robenson Compere | 6013205 | 1 | 02/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Kirby Franklin | 5899627 | 2 | 02/13/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Guarino | 1626169 | 8 | 02/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Guarino | 1626169 | 8 | 02/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Pietrykowski | 4762644 | 2 | 02/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dawn Anne Coleman-Hyman | 1320756 | 1 | 02/05/2019 | Customer Dispute | Settled | $1,150,000.00 | $0.00 | See FINRA Report |