Tag Archives: Pruco Securities LLC

Pruco Stockbroker Barred In Forgery Investigation

October 08, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims   |   Comments Off on Pruco Stockbroker Barred In Forgery Investigation

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 […]

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Pruco Stockbroker Charged With Interposing Spouse As Beneficiary

June 24, 2020  |   Posted by :   |   Breach of Fiduciary Duty   |   Comments Off on Pruco Stockbroker Charged With Interposing Spouse As Beneficiary

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 […]

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FINRA Bars Pruco Stockbroker In Investigation

June 22, 2020  |   Posted by :   |   Elder Financial Abuse, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on FINRA Bars Pruco Stockbroker In Investigation

Matthew Vincent Muratori (also known as Matthew Vincent Muraton) of Tampa Florida a stockbroker formerly associated with Pruco Securities LLC and Foresters Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that Muratori failed to cooperate in a FINRA investigation […]

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Pruco Stockbroker Barred For Misappropriation

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 […]

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Pruco Stockbroker Barred In Investigation

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 […]

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Pruco Securities Sued By Investors Over Stockbroker Loans

July 23, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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 […]

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Pruco Fires Stockbroker For Outside Business Activities

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 […]

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Pruco Broker Caught Obtaining Unapproved Customer Loans

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. […]

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Pruco Securities Broker Barred In Customer Loan Investigation

February 05, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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). […]

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FINRA Bars Pruco Broker In Investigation

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 […]

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Pruco Securities Broker Fired For Unauthorized Annuity Purchase

December 21, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

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 […]

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Pruco Discharges Stockbroker For Suitability Violations

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 […]

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Broker Ban Banned For Mishandling Customer Funds

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 […]

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Customer Accuses Pruco Securities Of Suitability

May 31, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Matthew Michael Dauksza of Dewitt New York a stockbroker formerly registered with Pruco Securities LLC is the subject of a customer initiated investment related written complaint on December 1, 2017 in which the customer accused Dauksza of failing to supervise a registered representative of the firm who made unsuitable recommendations to the customer regarding life […]

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Pruco Stockbroker Barred By FINRA For Conversion

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 […]

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Pruco Securities Sued By Customer For Churning

April 08, 2018  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

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) […]

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FINRA Bars Pruco Securities Stockbroker

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 […]

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SEC Bars MetLife Securities Stockbroker For Fraud

November 28, 2017  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes, Securities Fraud   |   0 Comments

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 […]

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Pruco Securities Stockbroker Barred By Regulator

October 05, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Pruco Securities Stockbroker Barred In Investigation

July 03, 2017  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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 […]

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Pruco Securities Broker Suspended For Customer Borrowing

June 08, 2017  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

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 […]

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Pruco Securities Stockbroker Barred In Investigation

February 13, 2017  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

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Pruco Securities Stockbroker Suspended For Customer Loans

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 […]

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Pruco Securities Stockbroker Barred For Fraud

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 […]

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Pruco Securities Stockbroker Charged With Fraud

Winston Wade Turner, of Sarasota, Florida, a registered representative with Pruco Securities, LLC, and MetLife Securities, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Tuner committed fraud in connection with customers’ variable annuity purchases, participated in unauthorized private securities transactions, and failed to cooperate with a […]

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