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 |
|---|---|---|---|---|---|---|---|---|
| Jay Randall Kimball | 5084444 | 3 | 12/03/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scott Raymond | 2986691 | 3 | 11/04/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas W Warstler | 3157135 | 2 | 10/28/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Bashar F Hakim | 2878558 | 5 | 10/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Stoner Lundeen | 314437 | 1 | 10/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rickard Brent Goetz | 1189331 | 2 | 10/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter John Barrasse | 1044407 | 1 | 10/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane Harriet Arnstein | 2313882 | 7 | 09/23/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Ronald Gagnon | 2346176 | 3 | 08/28/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alf Martin Markussen | 7639898 | 3 | 08/27/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |