Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Butler (Butler), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Butler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $36,867.68 on March 02, 2026.
The customer stated that the representative recommended to liquidate and transfer funds from a fixed annuity to the representative\\u2019s business. The customer believed the funds would be reinvested into another annuity. She indicated that she was not informed of any penalties associated with the transfer. The customer further alleged that a promissory note was later presented to her by the representative and signed approximately three years after the 2020 transfer, but the document was backdated to January 2020.