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 |
|---|---|---|---|---|---|---|---|---|
| David Lee Johnson | 4261453 | 1 | 05/26/2015 | Customer Dispute | Closed-No Action | $211,000.00 | $0.00 | See FINRA Report |
| Daniel N Tochinskiy | 5700158 | 1 | 05/22/2015 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Louis Martin Aquina | 6747 | 4 | 05/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jo Laurie Schmeltzer | 2615220 | 2 | 05/04/2015 | Customer Dispute | Denied | $102,375.00 | $0.00 | See FINRA Report |
| Jaime Alberto Chavez Llerenas | 4851520 | 2 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Seong-Wook Kim | 4613259 | 4 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Blu Rice | 4047018 | 2 | 04/28/2015 | Customer Dispute | Denied | $6,666.76 | $0.00 | See FINRA Report |
| James Battiste Gammero | 5633860 | 1 | 04/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shondra Leann Decker | 6398234 | 1 | 04/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward John Lupardo | 1421413 | 1 | 03/31/2015 | Customer Dispute | Settled | $29,252.60 | $0.00 | See FINRA Report |