Pruco Securities

There are Recent Customer Complaints with Broker Jeffrey Mitchell in Firm Pruco Securities, LLC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mitchell (Mitchell), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Mitchell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,286.89 on October 05, 2021.

The Customer alleges the reps misrepresentations constituted and resulted in consumer fraud and improper claims practices.

There are Recent Customer Complaints with Broker Charles Bonilla in Firm Pruco Securities, LLC.

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Bonilla (Bonilla), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bonilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 23, 2021.

Unsuitability, misrepresentation/omissions

There are Recent Customer Complaints with Broker Jeffrey Anderson in Firm Pruco Securities, LLC.

January 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Anderson (Anderson), previously associated with Pruco Securities, LLC., has at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory events, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 27, 2022.

Section 8.E(1)(j) of the Illinois Securities Law of 1953 [815 ILCS 5] (“the Act”) provides, inter alia, that the registration of a salesperson May be denied, suspended or revoked if the Secretary of State finds that the salesperson has had membership or association with any self-regulatory organization registered under the Federal 1934 Act or the Federal 1974 Act suspended, revoked, refused, expelled, cancelled, barred, limited in any capacity, or otherwise adversely affected in a similar manner arising from any fraudulent or deceptive act or a practice in violation of any rule, regulation or standard duly promulgated by the self-regulatory organization

Broker Jeffrey Weiner in Pruco Securities, LLC. Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Weiner (Weiner), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weiner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 31, 2022.

Without admitting or denying the findings, Weiner consented to the sanctions and to the entry of findings that he impersonated nine customers of his former member firm employer, during 19 telephone calls to the former firm’s insurance affiliate (the Carrier) to obtain information about the customers’ existing variable life insurance policies. The findings stated that Weiner impersonated the customers to facilitate the transfer of their policies from his former firm to his new firm, and ultimately four of them became Weiner’s customers at the new firm. Although the nine customers gave Weiner permission to obtain their information from the Carrier, the customers did not authorize Weiner to impersonate them.

Broker Roger Duval in Pruco Securities, LLC. Firm Has Customer Complaint

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Duval (Duval), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duval 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 $166,000.00 on November 12, 2025.

It is alleged that the rep’s recommendations, advice, and activities were negligent, improper, and caused the Claimant to suffer loss and damages. It is further alleged that the rep stole funds from the Claimant.

There are Recent Customer Complaints with Broker Adam Smith in Firm Pruco Securities, LLC.

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Smith (Smith), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,889.45 on October 17, 2022.

Customer Alleges that the rep did not fully disclose all the facts regarding tax consequences as the result of a transaction.

There are Recent Customer Complaints with Broker Michael Ryan in Firm Pruco Securities, LLC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ryan (Ryan), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Ryan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $16,468.11 on February 21, 2023.

Customer Alleges that the rep took her contracts and put them together to create two brand new contracts without her knowledge.

There are Recent Customer Complaints with Broker Lynn Nicholson in Firm Pruco Securities, LLC.

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Nicholson (Nicholson), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Customer is alleging Breach of Fiduciary Duty.

Broker Robert Luley in Pruco Securities, LLC. Firm Has Customer Complaint

August 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Luley (Luley), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one regulatory event, alleging that Luley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 21, 2023.

Respondent Luley failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker David Radford in Firm Pruco Securities, LLC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Radford (Radford), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Radford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 27, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding investment objectives and suitability.