Tag Archives: Pruco Securities

Pruco Securities Stockbroker Sanctioned For Forgery

July 29, 2017  |   Posted by :   |   Forgery   |   0 Comments

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 […]

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Pruco Securities Named In Customer Misrepresentation Claim

November 29, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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Pruco StockbrokerBarred for Lying to Investigators about Forgeries

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, […]

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Pruco Securities Broker Barred During Conversion Investigation

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. […]

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