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 |
|---|---|---|---|---|---|---|---|---|
| Richard James Marooney | 2830911 | 1 | 08/25/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Leon Pace | 1102106 | 10 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Leon Pace | 1102106 | 10 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Leon Pace | 1102106 | 10 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Leon Pace | 1102106 | 10 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Leon Pace | 1102106 | 10 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jon Michael Bass | 5785814 | 1 | 08/20/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yoonsung Kim | 4394375 | 1 | 08/19/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Edward Katenkamp | 4491420 | 3 | 08/09/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ben Johnson | 1973259 | 2 | 08/03/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |