Investors apparently complained about securities broker John Michael Clark [CRD: 6596483, Troy, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Clark worked for LPL Enterprise LLC from November 14, 2024, to February 3, 2025, and for Pruco Securities LLC from February 18, 2016, to November 14, 2024. Keep reading […]

Investors potentially experienced sales practice violations by securities broker Michael Scott Arteca [CRD: 4550695, Melville, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Arteca worked for Ameritas Investment Corp. from September 7, 2010, to July 27, 2017, for Pruco Securities LLC from September 5, 2017, to November 14, 2024, and […]

Investors might have sustained losses due to securities broker Joanna Wang (also known as Jian Wang) [CRD: 4056171, Fort Mill, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wang worked for Pruco Securities LLC from July 22, 2002 to November 14, 2024, and joined LPL Enterprise LLC on […]

Investors might have received losses because of securities broker Mark Allen Carter (also known as Mark Carter) [CRD: 6387371, Charlotte, North Carolina], according to disclosures on FINRA BrokerCheck. According to the regulator, Mark Carter worked for Pruco Securities LLC from September 8, 2014, to March 25, 2024. Here’s more about the securities broker’s disclosures. Pruco […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Zachary McCraw (also known as Zach Ross McCraw) [CRD: 7003820, Ridgeland, Mississippi]. McCraw was previously registered with Pruco Securities LLC from November 2018 to July 2023, serving as a registered representative. Recent disclosures reveal concerns about McCraw’s conduct, including allegations of submitting non-genuine electronic […]

Investors might have sustained losses due to Michael Craig Brickman [CRD: 4042866, Paramus, New Jersey], and FINRA barred the securities broker, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brickman worked for Pruco Securities LLC from May 25, 2018, to August 9, 2023. Continue reading to learn more about the nature […]

Investors may have experienced damages due to the actions of securities broker Travis E. Hudson [CRD: 4825700, Columbia, South Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hudson has worked for Pruco Securities LLC since October 6, 2004, and with Prudential Financial Planning Services since October 11, 2005. Here’s more on […]

Investors might have sustained losses due to securities broker Robert L. Golding (also known as Rob Golding) [CRD: 5324763, Alpena, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Golding worked for Pruco Securities LLC from February 8, 2018, to September 12, 2022. Here’s more. FINRA Sanctioned Golding For Refusal To […]

Soreide Law Group is investigating possible investor claims against securities broker Lee Ray Diedrich (CRD: 2636095, Great Falls, Montana). Evidently, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Allegedly, Diedrich committed forgery. Here is a brief summary of FINRA’s allegations against Diedrich. FINRA Suspends Lee Diedrich For Forgery Evidently, on November 16, […]