Tag Archives: Pruco Securities L.L.C.

Investors Accuse Pruco Securities Stockbroker Of Forgery

December 22, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on Investors Accuse Pruco Securities Stockbroker Of Forgery

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 […]

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Investors Sue Cuso Financial Services Over Unsuitable REIT Sales

June 08, 2020  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue Cuso Financial Services Over Unsuitable REIT Sales

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 […]

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Investors Accuse Pruco Securities Of Annuity Misconduct

September 13, 2019  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

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 […]

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Pruco Broker Terminated For Unauthorized Activities

October 22, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Pruco Broker Terminated For Reusing Customer Signatures

January 10, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

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 […]

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FINRA Bars Pruco Broker For Failure To Cooperate

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 […]

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