Feb 7, 2023

Jay McIntyre of Pruco Securities, LLC

DID JAY SCOTT MCINTYRE CAUSE YOU INVESTMENT LOSSES? Jay McIntyre Formerly With Pruco Securities, LLC and Principal Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Jay McIntyre of Pruco Securities, LLC? Jay McIntyre (CRD #2604957) who was formerly registered with Pruco Securities, LLC and located in Franklin, Tennessee, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC, Jay McIntyre was associated with Principal Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jay McIntyre Customer Complaints Jay McIntyre has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by MetLife Securities in favor of the investor. The other 2 customer complaints were denied by Jay McIntyre’s former employers in the customers, to date, took no further action. Allegations Against Jay McIntyre A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jay McIntyre Red Flags & Your Rights As An Investor Of course, Jay McIntyre 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 Jay McIntyre at Pruco Securities, LLC and Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jay McIntyre has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and Principal Securities, Inc. 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. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Jay McIntyre If you have questions about Pruco Securities, LLC, Principal Securities, Inc. and/or Jay McIntyre 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.

Continue Reading

Jan 31, 2023

James Prosperi formerly with Pruco Securities, LLC

DID JAMES V. PROSPERI CAUSE YOU INVESTMENT LOSSES? James Prosperi Formerly With Pruco Securities, LLC and Allstate Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Prosperi formerly with Pruco Securities, LLC? James Prosperi (CRD #2337125) who was formerly registered with Pruco Securities, LLC and located in Pittsford, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC,James Prosperi was associated withAllstate Financial Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Prosperi Customer Complaints James Prosperi has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints be denied by James prosperity’s employer, and it appears, to date, that the customers did not take any further action. Notwithstanding, James Prosperi was terminated by Pruco. Securities in December 2024 and knowingly submitting forms related to annuity applications that included non-genuine signatures and Merrill Lynch Pierce Fenner and Smith before that in 2014. Allegations Against James Prosperi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Prosperi Red Flags & Your Rights As An Investor Of course, James Prosperi 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 James Prosperi at Pruco Securities, LLC and Allstate Financial Services, LLC  on alert to review carefully the activity and performance of their accounts and question whether James Prosperi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and Allstate Financial Services, 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. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To James Prosperi If you have questions about Pruco Securities, LLC, Allstate Financial Services, LLC and/or James Prosperi 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.

Continue Reading

Jan 26, 2023

James Kelly formerly with Pruco Securities, LLC

DID JAMES E. KELLY CAUSE YOU INVESTMENT LOSSES? James Kelly Formerly With Pruco Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Kelly formerly with Pruco Securities, LLC? James Kelly (CRD #2959343) who was formerly registered with Pruco Securities, LLC and located in Owings Mills, Maryland, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC, James Kelly was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Kelly has had his own share of regulatory problems. In November 2021 he was suspended by FINRA for allegedly engaging in a commission-sharing agreement with a registered representative of another firm without reflecting it on his member firm’s books and records. James Kelly Customer Complaints James Kelly has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by James Kelly’s former employer, and, to date, it appears that the customers have not taken any further action. Allegations Against James Kelly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Kelly Red Flags & Your Rights As An Investor Of course, James Kelly 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 James Kelly at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To James Kelly If you have questions about Pruco Securities, LLC and/or James Kelly 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.

Continue Reading

Jan 23, 2023

Jacqueline Hanson formerly with Pruco Securities, LLC

DID JACQUELINE L. HANSON CAUSE YOU INVESTMENT LOSSES? Jacqueline Hanson Formerly With Pruco Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Jacqueline Hanson formerly with Pruco Securities, LLC? Jacqueline Hanson (CRD #2903017) who was formerly registered with Pruco Securities, LLC and located in Newark, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC, Jacqueline Hanson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jacqueline Hanson Customer Complaints Jacqueline Hanson has been the subject of 3 customer complaints that we know about to recover investment losses. One of the customer complaints was settled in favor of the investor. The other 2 customer complaints were denied by Jacqueline Hanson’s employer’s and it appears that the customers took no further action. Allegations Against Jacqueline Hanson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jacqueline Hanson Red Flags & Your Rights As An Investor Of course, Jacqueline Hanson 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 Jacqueline Hanson formerly of Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jacqueline Hanson 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Jacqueline Hanson If you have questions about Pruco Securities, LLC and/or Jacqueline Hanson 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.

Continue Reading

Dec 28, 2022

Frank Mastrosimone of Pruco Securities, LLC

DID FRANK MASTROSIMONE CAUSE YOU INVESTMENT LOSSES? Frank Mastrosimone Pruco Securities, LLC And Formerly With Royal Alliance Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Frank Mastrosimone of Pruco Securities, LLC? Frank Mastrosimone (CRD #322615) who is registered with Pruco Securities, LLC and located in Basking Ridge, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC, Frank Mastrosimone was associated with Royal Alliance Associates, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frank Mastrosimone Customer Complaint Frank Mastrosimone has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the private investment fund recommended was inappropriate for the customer. The arbitration proceeding is currently pending.  Frank Mastrosimone Red Flags & Your Rights As An Investor Of course, Frank Mastrosimone 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 Frank Mastrosimone at Pruco Securities LLC and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Frank Mastrosimone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and Royal Alliance Associates, Inc. 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. File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc. Due To Frank Mastrosimone If you have questions about Pruco Securities, LLC, Royal Alliance Associates, Inc. and/or Frank Mastrosimone 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.

Continue Reading

Jun 27, 2022

Bruce Horng of Pruco Securities, LLC

DID BRUCE V. HORNG CAUSE YOU INVESTMENT LOSSES? Bruce Horng Of Pruco Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Bruce Horng of Pruco Securities, LLC? Bruce Horng (CRD #2937278) who is currently registered with Pruco Securities, LLC and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Bruce Horng Customer Complaint Bruce Horng has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Bruce Horng failed to disclose all facts regarding expenses, fees and surrender charges related to a variable annuity, investment.  Bruce Horng’s customer complaint was denied and, to date, the customer has not taken any further action. Bruce Horng Red Flags & Your Rights As An Investor Of course, Bruce Horng 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 Bruce Horng at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Bruce Horng 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Bruce Horng If you have questions about Pruco Securities, LLC and/or Bruce Horng 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.

Continue Reading

Mar 23, 2022

Caroline Overman of Pruco Securities, LLC

DID CAROLINE ELIZABETH OVERMAN CAUSE YOU INVESTMENT LOSSES? Caroline Overman Of Pruco Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Caroline Overman of Pruco Securities, LLC? Caroline Overman (CRD #1277021) who is currently registered with Pruco Securities, LLC and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Caroline Overman Customer Complaint Caroline Overman has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Caroline Overman did not fully disclose all the facts relating to withdrawals from an insurance policy. Caroline Overman’s customer complaint was denied and, to date, the customer has not taken any further action. Caroline Overman Red Flags & Your Rights As An Investor Of course, Caroline Overman 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 Caroline Overman at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Caroline Overman 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Caroline Overman If you have questions about Pruco Securities, LLC and/or Caroline Overman 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.

Continue Reading

Mar 8, 2022

Jeffrey Weiner Formerly With Pruco Securities

DID JEFFREY PAUL WEINER CAUSE YOU INVESTMENT LOSSES? Jeffrey Weiner Formerly With Pruco Securities, MML Investors Services And MSI Financial Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Weiner formerly with Pruco Securities? Jeffrey Weiner (CRD #2476604) who was formerly registered with Pruco Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Jeffrey Weiner was associated with MML Investors Services, MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Weiner Customer Complaints Jeffrey Weiner has been the subject of 10 customer complaints that we know about, four of those complaints were filed in the last year to recover investment losses. One of Jeffrey Weiner’s 10 customer complaints was settled in favor of investors. Nine of Jeffrey Weiner’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jeffrey Weiner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged the sale of her variable annuity was misrepresented by Jeffrey Weiner as she was not informed of the surrender charges. Customer alleged Jeffrey Weiner did not fully disclose the premium payment requirements when a variable life insurance policy was purchased. Customer alleged Jeffrey Weiner misrepresented the features of a variable annuity purchased. Customer alleged damages for a waiver of the surrender penalty. Customer alleged Jeffrey Weiner misrepresented the variable life insurance policy she purchased. Customer alleged then when a variable life insurance policy was purchased from Jeffrey Weiner, Mr. Weiner did not explain premiums may need to be increased in the future. The complainant alleged that Jeffrey Weiner misrepresented the VUL policy issued. The complainant stated Mr. Weiner never told him, that he would be surrendering his Whole Policy by doing a 1035 exchange into the new VUL. The complainant is looking for a return of his cash value and all of the premiums paid. The complainant alleged that Jeffrey Weiner misrepresented the Variable Universal Life policy that was issued, which was funded by a 1035 exchanged of two Universal Life Policies. The complainant stated this resulted in a $5,000 surrender charge that he was never told about. The complainant would like the transaction reversed, and put back into his old policies, with the surrender charge re-credited to the policies. The complainant alleged that Jeffrey Weiner misrepresented his Variable Universal Life policy issued. The complainant would like his policy restored to its original standards. The customer alleged that Jeffrey Weiner misled her with regards to the future premium costs of her VUL policy, in order to earn a commission, when the solicitation occurred. Jeffrey Weiner Red Flags & Your Rights As An Investor Of course, Jeffrey Weiner 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 Jeffrey Weiner at Pruco Securities, MML Investors Services, and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Weiner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, MML Investors Services, and MSI Financial Services 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. File A Claim To Recover Your Investment Losses At Pruco Securities Due To Jeffrey Weiner If you have questions about Pruco Securities, MML Investors Services, MSI Financial Services, and/or Jeffrey Weiner 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.

Continue Reading

Mar 8, 2022

Robert Swank of Pruco Securities

DID ROBERT RANDALL SWANK CAUSE YOU INVESTMENT LOSSES? Robert Swank Of Pruco Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Swank of Pruco Securities? Robert Swank (CRD #2706148) who is currently registered with Pruco Securities and located in West Pittston, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Robert Swank Customer Complaints Robert Swank has been the subject of 2 customer complaints that we know about. Both of Robert Swank’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Swank A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that money was sent in to her account to pay her taxes and $4,000.00 from an account went missing. Robert Swank’s misrepresentation concerning failure to disclose sale charges regarding the purchase of 5 mutual funds.  Robert Swank Red Flags & Your Rights As An Investor Of course, Robert Swank 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 Robert Swank at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Robert Swank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities Due To Robert Swank If you have questions about Pruco Securities and/or Robert Swank 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.

Continue Reading

Mar 8, 2022

Roderick Parham of Pruco Securities

DID RODERICK T. PARHAM CAUSE YOU INVESTMENT LOSSES? Roderick Parham Of Pruco Securities And Formerly With State Farm VP Management Has A Customer Complaint For Alleged Broker Misconduct Who is Roderick Parham of Pruco Securities? Roderick Parham (CRD #2825204) who is currently registered with Pruco Securities and located in Decatur, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Roderick Parham was associated with State Farm VP Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roderick Parham Customer Complaint Roderick Parham has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Roderick Parham failed to disclose tax consequences in connection with an investment. Roderick Parham’s customer complaint was settled in favor of the investors. Roderick Parham Red Flags & Your Rights As An Investor Of course, Roderick Parham 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 Roderick Parham at Pruco Securities and State Farm VP Management on alert to review carefully the activity and performance of their accounts and question whether Roderick Parham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities and State Farm VP Management also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities Due To Roderick Parham If you have questions about Pruco Securities, State Farm VP Management, and/or Roderick Parham 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.

Continue Reading