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 |
|---|---|---|---|---|---|---|---|---|
| Todd Hamilton Halberg | 6240892 | 1 | 05/02/2018 | Customer Dispute | Denied | $7,708.44 | $0.00 | See FINRA Report |
| Vicky Rivera | 6197757 | 2 | 04/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rob Cassella | 5836230 | 1 | 04/30/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joel Paul Erikson | 2959020 | 4 | 04/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Arthur Sobania | 4654969 | 1 | 04/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David John Zauner | 2027403 | 2 | 03/28/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Craig Theisen | 5675411 | 1 | 03/22/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Yakov Moshe Baylis | 5178012 | 1 | 03/21/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Preetinder Singh Chatha | 2537813 | 1 | 03/20/2018 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Angelina Blackwell | 7866829 | 1 | 03/15/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |