Tag: Pruco Securities
Robert Luley Jr. Allegedly Sold Unsuitable Investments
Robert Luley Jr. Suspended Indefinitely by FINRA According to public records, FINRA, the self-regulator who oversees brokers and...
James Pelletiere, Pruco Securities Advisor, Barred by FINRA
FINRA Bars James Pelletiere after Allegations of Misconduct According to public records, the Financial Industry Regulatory Authority...
Jermaine Benjamin Barred by Securities Regulator
Jermaine Benjamin, Pruco Securities, Allegedly Misappropriated Funds On June 7, 2023, the Financial Industry Regulatory Authority (FINRA)...
Tony Chia Huang barred from securities industry by FINRA
According to a recent FINRA Disciplinary Actions announcement, Tony Chia Huang (CRD #3125448, Eastvale, California) submitted an AWC in...