Marc Ang of Sherman Oaks California a stockbroker formerly registered with Pruco Securities LLC is referenced in a customer initiated investment related written complaint on August 20, 2018 in which the customer requested unspecified damages founded on allegations of non-disclosures by Ang as it concerned the risks and guarantees of a variable annuity that had been sold to the customer when Ang was employed by Pruco Securities and (2) investments sold through Ang failed to be suitable for the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that Ang was discharged by Pruco Securities LLC on November 23, 2016 based upon accusations that Ang enlisted unauthorized personnel to communicate or solicit customers’ investment purchases; Ang engaged in unapproved outside business activities while associated with the firm; and Ang failed to make required regulatory disclosures.
