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 |
|---|---|---|---|---|---|---|---|---|
| Peter Edward Katenkamp | 4491420 | 3 | 03/14/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anatoliy Keslin | 4802851 | 3 | 03/04/2008 | Customer Dispute | Settled | $2,000.00 | $0.00 | See FINRA Report |
| Philip Joseph Spica | 2658960 | 5 | 02/21/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl David Isaac | 1956375 | 3 | 02/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Tallmadge Kernahan | 3084581 | 1 | 02/13/2008 | Customer Dispute | Denied | $12,674.40 | $0.00 | See FINRA Report |
| Adam Schopp | 7192005 | 2 | 02/13/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Seth Alan Workman | 5325147 | 1 | 02/05/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Michael Hallman | 1041742 | 1 | 02/05/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Carl Allen | 1112443 | 1 | 01/14/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Anne Ley | 6735295 | 1 | 01/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |