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 |
|---|---|---|---|---|---|---|---|---|
| Patrick James Rosenella | 1881318 | 5 | 02/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Eugene Friedrichsen | 2774629 | 6 | 01/28/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Hamilton Schlieker | 1912853 | 1 | 01/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nader Taghavi | 1967602 | 2 | 01/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Dow Brooks | 4653219 | 4 | 01/06/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brenda Louise Labar | 4517754 | 4 | 01/05/2009 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Jay Samuel Cohen | 1433624 | 3 | 01/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl Edward Fallo | 2055666 | 1 | 12/24/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas W Warstler | 3157135 | 2 | 12/24/2008 | Customer Dispute | Denied | $11,555.00 | $0.00 | See FINRA Report |
| Clark Hampton Swepston | 1143122 | 1 | 12/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |