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Pruco Securities Broker Barred During Conversion Investigation

September 16, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

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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Pruco Securities Broker Barred During Conversion Investigation

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