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 |
|---|---|---|---|---|---|---|---|---|
| Tyrone Thorpe | 6752008 | 1 | 07/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Charles Odonnell | 837312 | 4 | 07/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Charles Odonnell | 837312 | 4 | 07/28/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall Blake Barkhurst | 2104888 | 3 | 07/26/2023 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Oliver G Arnold | 5654461 | 1 | 07/16/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Shin | 6834197 | 2 | 07/13/2023 | Customer Dispute | Denied | $8,131.08 | $0.00 | See FINRA Report |
| Mark Alan Buckley | 6866289 | 1 | 07/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shuo Li | 6614364 | 1 | 06/30/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gina Kathleen Scafani | 7860080 | 1 | 06/22/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Sgro | 2968610 | 2 | 06/22/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |