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 |
|---|---|---|---|---|---|---|---|---|
| Robin William Chapman | 2092476 | 1 | 11/24/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Paul Bathanti | 1071381 | 2 | 11/10/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Allen Emring | 2850007 | 1 | 11/05/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Joe Jimerson | 2036729 | 5 | 11/05/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason R Campbell | 4841380 | 1 | 10/22/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Keith Person | 5122694 | 2 | 10/21/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Suresh Bhagwandas Malavia | 2561234 | 1 | 09/15/2010 | Customer Dispute | Denied | $5,538.98 | $0.00 | See FINRA Report |
| Mark Patrick Garvey | 1189465 | 3 | 09/07/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Arthur Mashey | 2273996 | 2 | 09/02/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jo Laurie Schmeltzer | 2615220 | 2 | 09/01/2010 | Customer Dispute | Denied | $31,301.20 | $0.00 | See FINRA Report |