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 |
|---|---|---|---|---|---|---|---|---|
| Kent Manqing Hu | 2891389 | 1 | 07/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bennett Christopher Sacks | 6962351 | 2 | 07/13/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ricky Payton Wallace | 1512657 | 1 | 07/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas F Sylvestro | 4487219 | 1 | 07/01/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ava M Zehm | 6838178 | 1 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael W Knipe | 5985807 | 1 | 06/26/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jesse Brett Butler | 4260239 | 4 | 06/26/2015 | Customer Dispute | Closed-No Action | $208,175.00 | $0.00 | See FINRA Report |
| Joseph Dominic Perna | 1891717 | 1 | 06/12/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Terry Crawford | 7382039 | 1 | 06/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodriguez Lee Barnett | 6746788 | 1 | 06/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |