Articles Tagged with Roger Duval

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.

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 $157,000.00  on February 14, 2025.

The complainant alleges that beginning in or around 2014, the rep stole $157,000 from their accounts.