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 | 12/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vicky Rivera | 6197757 | 2 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Ritter | 7161594 | 2 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Thomas Pascoe | 2003524 | 5 | 11/29/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Keith Johnson | 2455741 | 3 | 11/29/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey J Newton | 7004017 | 5 | 11/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marion Ann Watkins | 4364340 | 1 | 11/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jacob Valentine Hoffmann | 6107256 | 3 | 11/02/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1942860 | 3 | 10/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Herrera | 2906642 | 2 | 10/20/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |