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 |
|---|---|---|---|---|---|---|---|---|
| Dwayne C Johnson | 5871103 | 1 | 01/06/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Dean Parker | 1759840 | 4 | 12/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Paul Salvesen | 1470176 | 1 | 12/23/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Louis Martin Aquina | 6747 | 4 | 12/06/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Roger Sheinkopf | 1191417 | 2 | 11/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Curtis Ray Bowersox | 1271106 | 6 | 11/27/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Patrick Garvey | 1189465 | 3 | 11/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tyler John Graham | 7208765 | 1 | 11/25/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kerwyn Neil Escayg | 4067573 | 2 | 11/19/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mario Charles Sclafani | 4374097 | 2 | 10/30/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |