Tag Archives: Prudential Investment Management Services LLC

FINRA Bars Prudential Stockbroker For False Testimony

Tyrone Maurice Smiles, of Newark, New Jersey, a stockbroker formerly registered with Prudential Investment Management Services LLC (PIMS), has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in outside business activities while registered with Prudential Investment Management Services and provided misleading and […]

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Prudential Stockbroker Barred For Obstructing Investigation

Ann Marie Comcowich, of Scranton, Pennsylvania, a registered representative formerly associated with Prudential Investment Management Services 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 cooperate in a FINRA investigation into allegations of her unauthorized customer account withdrawals. […]

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