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Category Pruco Securities

Former Pruco Securities Broker, Alexis Cooke, Was Sanctioned By FINRA For Alleged Sales Practice Violations Relative To Annuities

September 5, 2021

Alexis Cooke (CRD#: 5598604) is a previously registered Broker who worked at Pruco Securities, LLC in Brooklyn, NY. Alexis Cooke entered the securities industry in 2009 and previously worked for NYLife Securities, LLC; Wells Fargo Advisors, LLC; J.P. Morgan Securities, LLC; and Chase Investment Services Corp. According to publicly available records released by the Financial…

Former Pruco Securities, LLC And MML Inverstors Services Financial Advisor, Roger Duval, Barred By FINRA For Allegedly Converting Approximately $130,000 From Elderly Customers

October 4, 2020

Roger Duval (CRD # 2503718) was a Financial Advisor at Pruco Securities, LLC in Bellevue, WA. Roger Duval has been in the securities industry since 1994 and was registered at seven different brokerage firms including MML Investors Services, LLC, MSI Financial Services, Inc., Allstate Financial Services, LLC, and Edward Jones. According to publicly available records…

Former Pruco Securities Broker, Matthew Muratori, Barred By FINRA, After Failing To Cooperate With Investigation Regarding Conversion Of Funds Belonging To Elderly Client

June 21, 2020

Matthew Muratori (CRD # 625563) was a Financial Advisor at Pruco Securities in Tampa, FL. Matthew Muratori has been in the securities industry since 2017 and previously worked at Foresters Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 8, 2020, FINRA sanctioned Matthew Muratori, barring him…

Pruco Securities Financial Advisor, Christopher Shaw, Has Three Pending Customer Complaint Disclosures, Alleging Sales Practice Misconduct

May 30, 2020

Christopher Shaw (CRD # 5011382) is a Financial Advisor at Pruco Securities in Charlotte, North Carolina. Christopher Shaw has been in the securities industry since 2005 and previously worked at Kalos Capital. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since July 2019, Christopher Shaw has been the subject of…

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