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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Lee Barnette | 5859876 | 2 | 03/30/2015 | Customer Dispute | Settled | $6,756.73 | $0.00 | See FINRA Report |
| Neil Robert Matsch | 1939286 | 1 | 03/27/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patricia Leonor Thompson | 5381151 | 1 | 03/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Kevin Kehoe | 1960219 | 1 | 03/10/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Curtiss Sharp | 1075183 | 1 | 03/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Cobb | 1857567 | 2 | 03/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Ronald Gagnon | 2346176 | 3 | 02/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Bobango | 1965928 | 2 | 02/25/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pene Sue Shoemaker | 5948922 | 1 | 02/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Marie Bailey | 5262232 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |