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 J Newton | 7004017 | 5 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey J Newton | 7004017 | 5 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna Fahmy | 5909960 | 1 | 01/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lee Lessing | 2968715 | 2 | 01/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Henry Anthony Diiorio | 1027863 | 2 | 12/28/2017 | Customer Dispute | Denied | $73,450.00 | $0.00 | See FINRA Report |
| Jeffrey G Erb | 1807013 | 1 | 12/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Zardavets | 2760607 | 1 | 12/21/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Matthew C McDonough | 6015156 | 3 | 12/20/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Eugene Friedrichsen | 2774629 | 6 | 12/15/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Scott Arteca | 4550695 | 7 | 12/15/2017 | Customer Dispute | Settled | $81,000.00 | $0.00 | See FINRA Report |