Pruco Securities

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.

There are Recent Customer Complaints with Broker Justin Pastore in Firm Pruco Securities, LLC.

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Pastore (Pastore), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Pastore 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 $12,762.88 on June 26, 2025.

Client has alleged the rep switched her policy without authorization.

There are Recent Customer Complaints with Broker Robert Golding in Firm Pruco Securities, LLC.

August 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 27, 2023.

Without admitting or denying the findings, Golding consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from a Form U5 filed by Golding’s member firm, which disclosed that he voluntarily resigned after allegations that he electronically submitted non-genuine client signatures on annuity applications, misdated a company form, and communicated via text outside the company’s monitoring platform.

There are Recent Customer Complaints with Broker John Butler in Firm Pruco Securities, LLC.

August 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 19, 2024.

Without admitting or denying the findings, Butler consented to the sanctions and to the entry of findings that he failed to provide prior written notice of his consulting services-related OBAs to his member firm. The findings stated that in addition to engaging in an approved insurance business, Butler also engaged in a consulting services business whereby he assisted a firm customer in selling portions of the customer’s civil money judgment awarded to him in a litigation to a third party. The customer paid over $538,000 to Butler for these unapproved consulting services. Butler also falsely affirmed on annual compliance questionnaires that he had completely and accurately disclosed his outside business activities to the firm.

There are Recent Customer Complaints with Broker Justin Pastore in Firm Pruco Securities, LLC.

July 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Pastore (Pastore), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Pastore 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 $12,762.88 on June 26, 2025.

Client has alleged the rep switched her policy without authorization.

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

June 21, 2025 | by Staff Attorney

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.