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 |
|---|---|---|---|---|---|---|---|---|
| Christopher W Carrieri | 5219412 | 1 | 05/10/2016 | Customer Dispute | Settled | $9,053.00 | $0.00 | See FINRA Report |
| Darin Thomas Moening | 5622024 | 2 | 05/10/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan David Owens | 5700109 | 1 | 05/03/2016 | Customer Dispute | Settled | $9,240.00 | $0.00 | See FINRA Report |
| Stephen Francis Murphy | 1005939 | 2 | 04/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 04/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Sears | 2085652 | 1 | 04/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stasie Jones | 5404055 | 1 | 04/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 04/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarissa Iris Holmes | 4867991 | 2 | 04/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Elliott Bergen | 807421 | 1 | 04/11/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |