Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brickman (Brickman), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Brickman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 23, 2024.
Without admitting or denying the findings, Brickman consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection to its investigation into whether he accepted personal checks made out to himself from a client.