Search for: "PRUCO SECURITIES, LLC"
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18 Dec 2018, 11:08 am
According to FINRA Disciplinary actions for November 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Denise Canez James Flynn IFS Securities Voya Financial Advisors, Inc Glenn Grosek Citizens Securities, Inc Pruco… [read post]
28 Aug 2018, 11:12 am
According to FINRA Disciplinary actions for August 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gregory Connell Ashley Evans Valbona Keja-Dasilva Suntrust Investment Services, Inc CCO Investment Services Corp Keesang Kim MML Investors… [read post]
13 Aug 2018, 10:25 am
His previous employers include Pruco Securities Corporation (CRD #5685) and The Prudential Insurance Company Of America (CRD #680), of Newark, NJ, Hibbard Brown & Co., Inc. [read post]
4 Jun 2018, 6:26 am
Valbona Keja Keja-Dasilva Suntrust Investment Services, Inc CCO Investment Services Corp Shane Jason Kelly LPL Financial LLC Atlantic Capital Advisors Keesang John Kim MML Investors Services, LLC Pruco Securities, LLC Michael Ray Matos J.P. [read post]
9 May 2018, 9:00 am
FINRA alleges Andrews-McKay first converted $29,648.19 from two firm clients, while working at Pruco Securities. [read post]
6 Mar 2018, 8:13 am
Morgan Securities LLC Wells Fargo Advisors, LLC Hong Kun Pan Pruco Securities, LLC Youngsoo Park J.P. [read post]
10 Jan 2018, 4:40 pm
Hong Kun Pan Pruco Securities, LLC Jay Anthony Pandy-Tatum Charles Schwab & Co., Inc. [read post]
27 Dec 2017, 7:37 am
From March 2002 until March 2010 Ferrara was registered with Pruco Securities, LLC. [read post]
19 May 2017, 9:08 am
Formerly of Metlife Securities Inc. and Pruco Securities, LLC, Turner accrued nearly two dozen disclosures — including customer disputes, a regulatory action, and a separation following allegations — during his three-year tenure in the industry. [read post]
14 Jul 2016, 7:13 am
Turner had been employed and registered with Pruco Securities, LLC, a broker-dealer, from July 2013 to August 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
10 Apr 2015, 6:14 am
Thereafter, Anderson was associated with Pruco Securities, LLC (Pruco) from February 2012 to September 13, 2012, when Pruco terminated his employment. [read post]
14 Jan 2015, 6:40 am
Thereafter, Weaver was associated with Pruco Securities, LLC from February 2012, until April 2013. [read post]
22 Apr 2013, 4:27 am
Fay first became registered in 1994 with Pruco Securities, LLC , where he remained until his September 17, 2012, discharge. [read post]
18 Jan 2010, 5:24 pm
Pruco Securities, LLC (CRD #5685, Newark, New Jersey) and Prudential Investment Management Services LLC (CRD #18353, Newark, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which they were censured, fined $525,000, jointly and severally, and required to conduct an audit and prepare written findings regarding their compliance with NASDrules relating to the filing, approval and recordkeeping requirements for advertisements and sales literature. [read post]
7 Mar 2009, 9:18 am
For more information about non qualified structured settlements and non qualified assignment click hereThe three non qualified structured settlement programs now offered through settlement consultants, such as 4structures.com, LLC, are Allstate International Assignments, Ltd., Pruco Assignment Corporation and Barco Assignments, Ltd. [read post]
