Pruco Securities

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.

There are Recent Customer Complaints with Broker Heather Devito in Firm Pruco Securities, LLC.

May 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

The company is currently investigating this matter and will file an amendment to disclose the outcome.

Broker James Parascandola in Pruco Securities, LLC. Firm Has Customer Complaint

May 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parascandola (Parascandola), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Parascandola 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 $11,120.06 on April 18, 2024.

Customer alleges that the rep did not fully disclose all the facts regarding unauthorized transactions related to her accounts and that the Rep opened a GoFundme account on her behalf but she did not receive all of the funds that were raised.

There are Recent Customer Complaints with Broker Nathan Kapp in Firm Pruco Securities, LLC.

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Customer of indirect affiliated insurance company (not customer of broker-dealer) claims that in the 2nd half of 2018 and into 2019, RR recommended and sold her an unsuitable fixed annuity to invest proceeds received after her mother passed away.

Broker Leslie Maholic in Pruco Securities, LLC. Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Maholic (Maholic), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maholic 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 $60,000.00 on February 25, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regardingfees, charges and expenses. This matter is being reported consistent with FINRA rulespertaining to the reporting of certain written customer complaints. The company by thisfiling makes no allegations regarding the actions of the representative.