Tag: Pruco Securities

Broker Investigations

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...

Read More

Broker Investigations

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...

Read More

Blog, Broker Investigations, Current Investigations

Jermaine Benjamin Barred by Securities Regulator 

Jermaine Benjamin, Pruco Securities, Allegedly Misappropriated Funds  On June 7, 2023, the Financial Industry Regulatory Authority (FINRA)...

Read More

Blog, Securities Fraud Articles

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...

Read More