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 |
|---|---|---|---|---|---|---|---|---|
| Michael Scott Arteca | 4550695 | 7 | 06/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kerry K Kline | 4478808 | 1 | 06/15/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael T Bloss | 6012140 | 1 | 05/19/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Paul Guenther | 1673462 | 3 | 05/14/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Leon Pace | 1102106 | 10 | 05/13/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary Lou Beets | 2932762 | 1 | 05/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathon Ray Schenk | 4422256 | 2 | 05/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kerwyn Neil Escayg | 4067573 | 2 | 05/05/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Philip Michael Curran | 1661194 | 2 | 04/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leo Atma Alam | 1871658 | 2 | 04/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |