Pruco Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Pruco Securities. If you suffered losses investing with Pruco Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Pruco Securities (CRD# 5685) (SEC# 8-16402)
As of September 12, 2016, Pruco Securities’s FINRA BrokerCheck Report contains the following:
26 Regulatory Event Disclosures
0 Civil Event Disclosures
12 Arbitration Disclosures
2 Bond Disclosures
Main Office Location
751 BROAD STREET
NEWARK, NJ 07102-3777
Mailing Address
751 BROAD STREET
NEWARK, NJ 07102-3777
Business Telephone Number
800-201-6690
Direct Owners and Executive Officers
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA – PARENT COMPANY
BRAYTON, KEVIN MICHAEL (CRD# 2730351) – VP, MANAGER
FEENEY-PFUNDSTEIN, CAROLINE ANN (CRD# 2308601) – MANAGER
FOUCHE, LORI DICKERSON (CRD# 6598690) – MANAGER
GORDON, JOHN GEORGE (CRD# 1087980) – MANAGER, PRESIDENT & CHIEF OPERATING OFFICER
HUG, MARK ANTHONY (CRD# 2312358) – VICE PRESIDENT & MANAGER
HYNES, PATRICK LIAM (CRD# 2748918) – MANAGER
KINVILLE II, RICHARD WILLIAM (CRD# 4042475) – VP, CHIEF ANTI-MONEY LAUNDERING OFFICER
MCGOVERN, JOHN DANIEL (CRD# 1529885) – VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
PARKER, STUART SHERMAN (CRD# 1767335) – MANAGER
SCARAMELLA, ADAM (CRD# 2746273) – CHIEF LEGAL OFFICER
SLUYTER, KENT DOUGLAS (CRD# 1899812) – CHAIRMAN, MANAGER
WEINREB, STEVEN (CRD# 2155347) – CONTROLLER, CHIEF FINANCIAL OFFICER & FINANCIAL & OPERATIONS PRINCIPAL
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Pruco Securities and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.