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 |
|---|---|---|---|---|---|---|---|---|
| Pratik Pravinchandra Shah | 2134811 | 2 | 08/25/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Jay Behrens | 5033407 | 2 | 08/24/2009 | Customer Dispute | Denied | $20,731.00 | $0.00 | See FINRA Report |
| Paul Roland Sobotta | 1818955 | 1 | 08/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jenny Ming Tan | 2670384 | 1 | 07/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Dean Parker | 1759840 | 4 | 07/16/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Bishop | 2879349 | 3 | 07/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Douglas Vanhorn | 1156643 | 2 | 07/15/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas E Olmstead | 4527115 | 3 | 07/11/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Paul Jordan | 6847381 | 1 | 07/10/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Katz | 2209456 | 1 | 07/06/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |