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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Daniel Bye | 1067750 | 2 | 01/30/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Jamshed Merwan Irani | 1964744 | 1 | 01/28/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer Redino Weinstein | 7118480 | 1 | 12/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Alfred Holloway | 5152878 | 1 | 12/12/2018 | Customer Dispute | Closed-No Action | $427,611.00 | $0.00 | See FINRA Report |
| Terrance L Dubois | 4229942 | 4 | 12/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Diane Harriet Arnstein | 2313882 | 7 | 12/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexander G L Fennell | 5664774 | 1 | 12/06/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Diebold | 2137826 | 2 | 12/03/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathon K Rogers | 5151371 | 2 | 11/28/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Lessing | 2968715 | 2 | 11/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |