Mark Allen Carter, of Charlotte, North Carolina, a stockbroker formerly registered with Pruco Securities LLC, is the subject of a customer initiated investment related complaint filed on April 4, 2014, in which the customer requested $500,000.00 in damages based upon alleged unauthorized trading in the customer’s retirement account when Carter was associated with Pruco Securities…
Zachary Ross McCraw (also known as Zach McCraw), of Ridgeland, Mississippi, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because McCraw failed to comply with an investigation into his potential forgery of customer signatures on insurance forms. Letter of Acceptance,…
Randall Blake Barkhurst (also known as Randy Barkhurst), of Tualatin, Oregon, a stockbroker registered with Pruco Securities LLC, was the subject of a customer initiated investment related complaint filed on July 26, 2023, in which the customer requested $500,000.00 in damages based upon allegations that Barkhurst made misrepresentations of material fact in connection with the…
John Jude Butler of Ocala, Florida, a stockbroker previously registered with Pruco Securities LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Butler engaged in outside business activities and failed to report related compensation from a Prudential customer. Letter of…
Michael Craig Brickman, of Paramus, New Jersey, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Brickman failed to cooperate with a FINRA investigation into allegations that he accepted personal checks from a customer. Letter of Acceptance, Waiver, and Consent…
Robert Lee Golding of Alpena, Michigan, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Golding did not cooperate with a FINRA investigation into allegations of his potential forgery. Letter of Acceptance, Waiver, and Consent No. 2022076240401 (November 27, 2023)….
Willie Joseph Rosser Sr. of Atlanta, Georgia, a stockbroker registered with Pruco Securities LLC, has been fined $5,000 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Rosser borrowed customer funds. Letter of Acceptance, Waiver, and Consent No. 2022074772401 (January 30, 2024). In 2021, Pruco…
Travis E. Hudson, of Columbia, South Carolina, a stockbroker registered with Pruco Securities LLC., is the subject of a customer initiated investment related civil action in which the customer requested compensatory damages based upon allegations that Hudson breached his fiduciary duties in connection with the sale of insurance products during the time that Hudson was…
Paul N. Lekousis of LaGrange Park, Illinois, a stockbroker associated with Pruco Securities LLC, has been discharged by the securities broker dealer on June 22, 2023, based upon allegations that Lekousis submitted “non-authentic” electronic customer signatures on insurance policy applications. Supposedly, he reused a customer signature page during the time that filing a form and…
Jermaine Kahlil also known as Jermaine Benjamin, of Tampa, Florida, a stockbroker registered with Pruco Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Benjamin failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver,…
Lee Ray Diedrich of Great Falls, MT, a stockbroker registered with Pruco Securities LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Diedrich committed forgery. Letter of Acceptance, Waiver, and Consent No. 2022074303701 (November 16, 2022). According to the AWC,…
Christopher John Shaw (also known as Chris Shaw), of Belmont, North Carolina, a stockbroker registered with Pruco Securities LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Shaw engaged in unauthorized trading. Letter of Acceptance, Waiver, and Consent No. 2020067955001 (November 7, 2022)….
Robert Leo Luley (also known as Rob Leo Luley Junior) of Clover, South Carolina, a stockbroker formerly registered with Madison Avenue Securities LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $250,000.00 in damages based upon allegations that Luley made unsuitable recommendations in connection with the sale…
Jeffrey Paul Weiner of New York, New York, a stockbroker formerly registered with Pruco Securities LLC, has been fined $5,000.00 and suspended for 30 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Weiner’s unauthorized activities, including impersonating a Pruco Securities customer to identify information on…
Alon Zak, of Sherman Oaks, California, a stockbroker formerly registered with Pruco Securities LLC (Prudential), has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings of Zak’s forgery and falsification of insurance applications and Zak’s failure to testify in a FINRA investigation….
James Edward Kelly Sr., of Owings Mills, Maryland, a stockbroker formerly registered with Pruco Securities LLC, has been fined $5,000.00 and suspended for two weeks from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unauthorized commission-sharing arrangements relating to his sales of variable annuities….
Brandie June Becker Osburn (also known as Brandie Becker Osburn) of Glen Allen Virginia a stockbroker currently registered with Pruco Securities is the subject of a customer initiated investment related written complaint on February 3, 2020, in which the customer sought $142,000.00 in damages supported by accusations that an unauthorized transaction was effected in their…
Michael John Libmann (also known as Mike Libmann) of Quincy Illinois a stockbroker currently registered with Pruco Securities LLC is the subject of a customer initiated investment related written complaint which was settled for $91,000.00 in damages supported by allegations that unsuitable transactions were made by Libmann when he was registered with Pruco Securities LLC….
Alon Zak of Sherman Oaks California a stockbroker formerly registered with Pruco Securities has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with forging customer signatures and submitting insurance documents to Pruco’s insurance affiliate without customers’ authorization. Department of Enforcement v. Alon Zak Disciplinary Proceeding No. 2020065349803 (Aug. 19, 2021). According to…
Frederick Joseph Rock (also known as Frederick Joseah Rock) a stockbroker formerly registered with Pruco Securities LLC has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Rock engaged in private securities transactions involving customers of Pruco Securities. Letter…
Charles Abad Santos Bonilla of Boca Raton Florida a stockbroker formerly registered with David Lerner Associates Inc. has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Bonilla made unsuitable recommendations to customers concerning alternative investments. Letter of Acceptance…
James Vincent Prosperi of Pittsford New York a stockbroker currently registered with Pruco Securities is referenced in a customer initiated investment related written complaint on September 29, 2020 in which the customer requested unspecified compensatory damages supported by accusations that the customer’s signature had been forged on documents to effect insurance transactions during the time…
Neil James Buono of Woodstock Georgia a stockbroker formerly registered with Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Buono refused to cooperate with FINRA staff who was investigating allegations of his forgery and violations of FINRA rules. Letter of…
Julian Jay Piekarczyk of Joliet Illinois a stockbroker formerly registered with Pruco Securities LLC has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Piekarczyk exploited a customer and had prevented Pruco Securities from learning about his spouse’s designation as the customer’s beneficiary. Department of Enforcement v. Julian Jay Piekarczyk Disciplinary…
Jacqueline Lynn Hanson (also known as Jacqui Hanson Shea and as Jacqueline Hanson Moore) of Washington D.C. a stockbroker formerly registered with Cuso Financial Services LP is the subject of a customer initiated investment related arbitration claim which was settled to resolve accusations that the Cuso Financial Services customer had been placed into a real…
Vaughn Lee Andrews-McKay of Shelton Connecticut a stockbroker formerly employed by Pruco Securities has been barred from working as a stockbroker or investment adviser representative founded on accusations that (1) funds had been misappropriated or stolen by the stockbroker from two customers (2) the stockbroker was sanctioned by Financial Industry Regulatory Authority (FINRA) for his…
Joseph Viet Duy Phan of Irvine California a stockbroker formerly registered with Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Phan failed to comply with FINRA when he was investigated for (1) borrowing customers’ funds without authorization from…
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…
Richard Edwin Seidel of Wyomissing Pennsylvania a stockbroker formerly registered with Pruco Securities LLC is the subject of a customer initiated investment related written complaint which settled for $118,.734.65 in damages on March 29, 2017 founded on allegations that $55,000.00 in total loans had been improperly taken from the customer’s insurance policy when Seidel was…
Joseph Peter Gulbin Jr. of Shelton Connecticut a stockbroker formerly employed by Pruco Securities LLC has been discharged by the firm on November 9, 2018 founded on accusations that (1) Gulbin participated in outside business activities which had not been disclosed to Pruco Securities or approved by the firm and (2) Gulbin furnished insurance policy…
Kevin Hao Jie Zhang of Dewitt New York a stockbroker formerly registered with Pruco Securities, LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Zhang engaged in an unapproved loan arrangement with a customer of Pruco Securities….
Denise Marie Peskar of Mayfield Heights Ohio a broker formerly registered with Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that she failed to respond to a FINRA information request. Letter of Acceptance Waiver and Consent No. 2018059051901 (Dec. 21, 2018)….
Liju Varghese (also known as Joe Varghese) of Howard Beach New York a broker formerly registered with Pruco Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Varghese failed to cooperate with FINRA personnel’s investigation of his possible unauthorized trading in…
Linda Almeida Jay of East Brunswick New Jersey a securities principal of Pruco Securities LLC has been terminated on October 30, 2018 based upon accusations that Jay submitted documents to effect a purchase of an annuity for a prospective customer who never applied for it. Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that…
Calvin Georges Zara of Ojai California a stockbroker formerly employed by Pruco Securities LLC has been discharged by the firm on March 6, 2017 supported by allegations that (1) Zara engaged in outside business activities that had not been approved by Pruco Securities LLC (2) Zara neglected to complete the appropriate suitability forms for customers…
Tony Ban of New York New York a stockbroker formerly employed by Pruco Securities LLC has been discharged by the firm on May 12, 2017 supported by allegations that Ban (1) procured cash from several of the firm’s customers (2) failed to appropriately document the transactions (3) mishandled the customer’s funds and (4) inappropriately used…
Viet Van Nguyen (also known as Michael Viet Nguyen) of San Jose California a Pruco Securities LLC registered representative has been terminated on January 20, 2017 supported by accusations that Nguyen engaged in unauthorized activities while registered with the firm. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on August 30, 2017, a…
Vaughn Lee Andrews-McKay of Shelton Connecticut a stockbroker formerly employed by Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on consenting to findings that Andrews-McKay converted a customer’s funds. Letter of Acceptance Waiver and Consent No. 2018058343001 (May 8, 2018). According to the…
Winston Wade Turner of Sarasota Florida is a former Pruco Securities LLC stockbroker who is the subject of a customer initiated investment related arbitration claim in which the customer sought $111,000.00 in damages based upon allegations that Turner (1) effected transactions in the customer’s account which were not suitable (2) converted the customer’s funds (3)…
Patrick Hugh Dowd of Jacksonville Florida is a stockbroker formerly registered with Pruco Securities LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to provide FINRA with information about Dowd’s business activities. FINRA Case No. 2016050861701 (Mar. 27, 2017). FINRA…
Kwimin Ahn of New York, New York, a stockbroker formerly registered with Pruco Securities, LLC, has been terminated from employment on May 25, 2017, based upon accusations that he violated the firm’s policies by reusing customer signatures on an annuity application and transfer documents in order to effect transactions. Financial Industry Regulatory Authority (FINRA) Public Disclosure…
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…
Bryan Wayne Anderson, of Birmingham, Alabama, a stockbroker formerly registered with Pruco Securities, LLC, has been barred by Securities and Exchange Commission (SEC) from engaging in business as a broker or an investment advisor, or otherwise associating with brokerage firms or investment advisories according to an Order containing findings that Anderson committed securities fraud. In…
Yilih Choong, of Newark, New Jersey, a stockbroker formerly registered with Pruco Securities, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in an investigation into accusations that he communicated false information to his employer…
Jeffrey Allen Delaney Junior, of Columbia, South Carolina, a stockbroker formerly registered with Pruco Securities, LLC, has been fined $15,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Delaney, inter alia, forged a customer’s signature on account documentation. Letter…
Cathy Ione Earnest, of Chicago, Illinois, a stockbroker formerly registered with Pruco Securities, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to furnish complete information to FINRA in the course of FINRA’s investigation into allegations of Earnest’s unauthorized…
Zena Yofonovich, of Rosemont, Illinois, a stockbroker formerly registered with Pruco Securities, LLC, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she entered into an unauthorized agreement to borrow funds from a customer. Letter of Acceptance, Waiver and Consent, No. 1358792…
Hyun Sik Cho, of Dewitt, New York, a stockbroker formerly registered with Pruco Securities, L.L.C., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that he partook in unauthorized loan transactions with customers. Letter…
Richard Edwin Seidel, of Wyomissing, Pennsylvania, a stockbroker formerly registered with Pruco Securities, LLC, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in an unauthorized borrowing arrangement with a firm customer. Letter of Acceptance, Waiver and Consent, No. 2016050057401…
Terry J. Bagwell, of Birmingham, Alabama, a stockbroker formerly associated with Pruco Securities, LLC, was named in a pending customer initiated investment related arbitration claim on February 22, 2016, in which the customer alleged that Bagwell made misrepresentations to a customer concerning a life insurance policy. FINRA Public Disclosure reveals that Bagwell has been subject…
Winston Wade Turner of Sarasota, Florida, a registered representative with Pruco Securities, LLC, and MetLife Securities, Inc., was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per a FINRA Office of Hearing Officers Default Decision containing findings that Turner committed fraud pertaining to customers’ variable annuity purchases, partook in unauthorized…
Christopher Yoon, a Stockbrokerwith Pruco Securities, LLC, was permanently barred by Financial Industry Regulatory Authority (FINRA) after consenting to findings that he lied about a life insurance beneficiary to obtain a signed blank check and forged or caused to be forged customer signatures on life insurance documents and application related materials. Letter of Acceptance, Waiver,…
Ronald Dunn, a registered representative with Pruco Securities, LLC, was permanently barred by from associating with any Financial Industry Regulatory Authority (FINRA) registered firm after consenting to findings that he had failed to cooperate in an investigation in connection with Dunn’s alleged conversion of customer funds. Letter of Acceptance, Waiver, and Consent, No. 2014042095201 (Apr….