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 |
|---|---|---|---|---|---|---|---|---|
| Scott Allen Vollrath | 2807169 | 2 | 08/30/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Connell Joseph Tarr | 442686 | 1 | 08/24/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Charles Vasu | 1563100 | 2 | 08/15/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan M Roth | 1627270 | 2 | 08/02/2011 | Customer Dispute | Denied | $45,200.20 | $0.00 | See FINRA Report |
| Daniel Alan Krause | 7319967 | 1 | 07/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert David Simpson | 1519272 | 5 | 07/08/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert David Simpson | 1519272 | 5 | 07/07/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert David Simpson | 1519272 | 5 | 06/14/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn Dale Weyand | 1343866 | 3 | 06/06/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Bennie Eaton | 1054839 | 3 | 05/25/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |