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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Anthony Persempere | 2925716 | 1 | 11/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mario Charles Sclafani | 4374097 | 2 | 11/12/2018 | Customer Dispute | Withdrawn | $125,273.00 | $0.00 | See FINRA Report |
| Anthony Errol Fernando | 2565558 | 3 | 10/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Molly Ryan Croyle | 2231162 | 1 | 10/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Curran | 1661194 | 2 | 10/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1942860 | 3 | 10/11/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Guarino | 1626169 | 8 | 09/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Eugene Umphress | 7016717 | 2 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Eugene Umphress | 7016717 | 2 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Glenn Manning | 7268546 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |