Hong Kun Pan of Flushing, New York, a stockbroker associated with Pruco Securities, L.L.C., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to reply to FINRA’s request for information about his business activities. Case No. 2016050091704 (Dec. 11, 2017).
FINRA Public Disclosure reveals that on April 9, 2014, a customer filed an investment related written complaint in reference to Pan’s conduct, alleging that Pan failed to inform the customer about the tax liabilities relating to an insurance transaction.
Pan’s employment with Pruco Securities, LLC was terminated as of March 4, 2016.
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