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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Muldoon | 6806059 | 1 | 01/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenny Scott Johnson | 5912427 | 1 | 01/20/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carolina Pamintuan Tanjutco | 5565044 | 2 | 01/15/2016 | Customer Dispute | Denied | $16,591.90 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 01/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ernesto D Ramirez | 2787283 | 3 | 01/06/2016 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Michael Pietsch | 7735342 | 2 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Damon Jerome Drew | 2679256 | 2 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy Louise Roach-Wilder | 1309581 | 2 | 12/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diana M Nguyen | 5908290 | 1 | 12/22/2015 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Patrick Pierce Kelley | 5967615 | 1 | 12/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |