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 |
|---|---|---|---|---|---|---|---|---|
| Bashar F Hakim | 2878558 | 5 | 06/13/2018 | Customer Dispute | Withdrawn | $5,147.61 | $0.00 | See FINRA Report |
| Jeffrey Krug | 2900647 | 5 | 06/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Dow Brooks | 4653219 | 4 | 06/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ikuyo Hiraguchi | 4742401 | 1 | 05/31/2018 | Customer Dispute | Denied | $7,964.63 | $0.00 | See FINRA Report |
| Michael Scott Arteca | 4550695 | 7 | 05/25/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Alexander Ogrodnick | 2516489 | 4 | 05/07/2018 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |