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 |
|---|---|---|---|---|---|---|---|---|
| George Petridis | 2320610 | 1 | 02/28/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mike Mohammad Hassan Zandian | 2287424 | 3 | 02/15/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ajit Zumbarlal Gandhi | 1173749 | 2 | 02/06/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis M Burns | 4609520 | 1 | 01/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip C Thornberry | 5041440 | 1 | 01/18/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Efrem Kroll | 1993902 | 1 | 01/17/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Brent | 2928797 | 5 | 01/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ajit Zumbarlal Gandhi | 1173749 | 2 | 12/14/2011 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Edward L Kelley | 4136179 | 4 | 12/12/2011 | Customer Dispute | Settled | $12,585.10 | $0.00 | See FINRA Report |
| Patrick James Rosenella | 1881318 | 5 | 10/10/2011 | Customer Dispute | Withdrawn | $7,693.00 | $0.00 | See FINRA Report |