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 |
|---|---|---|---|---|---|---|---|---|
| Michael Alan Tegland | 5656596 | 2 | 10/17/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Warren Foster Brewer | 4581383 | 2 | 10/15/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rickard Brent Goetz | 1189331 | 2 | 10/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracy Elizabeth Richardson | 2395155 | 4 | 10/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| MacArio Dabu Sambat | 5195599 | 1 | 09/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randy Lee Husman | 801145 | 5 | 09/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Stuart Feldman | 6723405 | 1 | 09/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kurt Arthur Schummer | 3272406 | 4 | 09/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jack J Hallak | 2981137 | 1 | 09/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Schiavo | 1164805 | 2 | 09/01/2016 | Customer Dispute | Closed-No Action | $1,500.00 | $0.00 | See FINRA Report |