DID Michael Brickman CAUSE YOU INVESTMENT LOSSES?
About Michael Brickman formerly with Pruco Securities, LLC?
Michael Brickman (CRD #4042866) has a diverse history in the securities industry but is not currently registered. He has been associated with various firms over his career, including Prudential Securities, LLC., Hartford Equity Sales Company Inc., and Jackson National Life Distributors LLC, spanning from December 2000 to August 2023. Brickman passed one principal/supervisory exam (Series 26), two general industry/product exams (SIE and Series 6), and one multi-state securities law exam (Series 63). His career includes a wide geographical span, having registered in multiple states and working in various capacities within these firms.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Michael Brickman Customer Complaints and Reviews
Michael Brickman’s FINRA report includes the following disclosure events:
- Regulatory Event (1): Brickman was permanently barred by FINRA in February 2024 after he refused to provide information and documents requested by FINRA, related to an investigation into whether he accepted personal checks made out to himself from a client.
- Customer Dispute (1): A pending dispute involves allegations that Brickman misrepresented a client’s profile in annuity applications and made improper recommendations, leading to surrender charges and penalties, reported in June 2023.
- Termination (1): He voluntarily resigned from Pruco Securities, LLC. in July 2023 following the company’s review into allegations that he accepted personal checks made out to himself from a client.
Allegations Against Michael Brickman
- Regulatory Actions:
- Permanent Bar (February 2024): Brickman was barred by FINRA for his refusal to cooperate with an investigation into accusations of accepting personal checks from a client, a serious violation of regulatory standards.
- Customer Complaints:
- Misrepresentation and Improper Recommendations: There is a pending customer complaint alleging that Brickman misrepresented the client’s profile on annuity applications and recommended unsuitable products resulting in financial penalties.
- Termination:
- Voluntary Resignation (July 2023): He resigned amidst the company’s investigation into allegations of accepting personal checks from a client, which is a significant breach of trust and professional conduct.
Michael Brickman Red Flags & Your Rights As An Investor
Of course, Michael Brickman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Brickman at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Brickman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Michael Brickman
If you have questions about Pruco Securities, LLC and/or Michael Brickman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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