Prudential - Israels & Neuman, PLC

ROSALINE ALAM of Pruco Securities is BARRED

Israels & Neuman, PLC — Fri, 14 Jun 2024 18:02:38 GMT

Rosaline Alam, Formerly with Pruco Securities, Barred

CLAREMONT, CALIFORNIA Did you invest with Rosaline Alam in Claremont, California? Our investment fraud law firm is reviewing allegations against this advisor, who was previously licensed with Pruco Securities (Prudential). She was expelled from the securities brokerage industry in June 2024 by FINRA after she failed to respond to FINRA’s investigation.

In November 2023, Pruco Securities disclosed to FINRA that Ms. Alam allegedly misappropriated funds from an elderly customer and was named as a beneficiary in the customer’s will. This prompted the investigation by FINRA. When she failed to respond to the investigation, FINRA barred her in June 2024. In addition, she has also been the subject of a December 2023 customer complaint.

Rosaline Alam was registered with Pruco Securities from August 2016 to October 2023. She was also affiliated with Lincoln Investments and worked in Claremont, California.

Our investment fraud and securities arbitration law firm has recovered millions of dollars for investors in the past, including numerous investors in California. We have represented investors against numerous brokerage firms.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Rosaline Alam, or Pruco Securities, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

MICHAEL BRICKMAN of Pruco Securities is BARRED

Israels & Neuman, PLC — Tue, 27 Feb 2024 18:15:49 GMT

Michael Brickman Barred from Securities Industry by FINRA

PARAMUS, NEW JERSEY Did you invest with financial advisor Michael Brickman in Paramus, New Jersey? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations against Michael Brickman, who previously worked with Pruco Securities (Prudential). He was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database.

Mr. Brickman voluntarily resigned from Pruco Securities while he was under an internal investigation for accepting checks from a client. That led to the FINRA investigation. After he failed to respond to FINRA’s investigation, he was barred.

Brickman was registered with Pruco Securities from May 2018 to August 2023. He worked in Paramus, New Jersey and was also the subject of a June 2023 customer complaint.

Israels & Neuman has recovered millions of dollars for investors in the past and have represented numerous investors in New Jersey.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Michael Brickman, or Pruco Securities, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

ROBERT LULEY of Pruco Securities is SUSPENDED

Israels & Neuman, PLC — Tue, 31 Oct 2023 17:28:01 GMT

Pruco Securities Advisor Robert Luley Suspended by FINRA

CHARLOTTE, NORTH CAROLINA

Robert Luley also known as Rob Leo Luley, has been indefinitely suspended by FINRA, as of August 2023. He previously worked with Pruco Securities and Madison Avenue Securities, and failed to respond to a FINRA investigation. See his BrokerCheck Report attached below. This ultimately led to his suspension.

FINRA does not list the reasons as to why it was investigating Rob Leo Luley. However, BrokerCheck reveals that he has been the subject of nine customer complaints, all of which have been made sine 2020. He was also terminated by Pruco Securities in March 2022. Many of the complaints involved sales of alternative investments and private placements.

Robert Luley worked in Charlotte, North Carolina. He was licensed with Pruco Securities and Prudential Insurance from May 2020 to March 2022, and with Madison Avenue Securities from June 2014 to November 2018. He operated Leo Financial Group in Charlotte, NC.

Stockbrokers must respond to FINRA’s investigation or face punishment under FINRA Rule 8210. If Luley continues to refuse to cooperate with FINRA’s investigation, he likely will be barred from the securities industry.

BROKERCHECK REPORT CAN BE FOUND HERE.

If you lost money with Robert Luley or Pruco Securities, please Contact Us at (206) 795-5798 for a free evaluation of your case.

JAMES PELLETIERE of Pruco Securities is BARRED

Israels & Neuman, PLC — Thu, 05 Oct 2023 18:47:18 GMT

James Pelletiere, formerly with Pruco Securities, Barred by FINRA

DOWNERS GROVE, ILLINOIS

Did you invest with financial advisor James Pelletiere, formerly with Pruco Securities? We are reviewing claims made against James Pelletiere from Downers Grove, Illinois. In October 2023, FINRA (the Financial Industry Regulatory Authority) barred Pelletiere from the securities industry. FINRA alleged that he did not cooperate with a FINRA investigation.

FINRA’s Disciplinary Database shows that Pelletiere was under investigation in June 2023. Pelletiere was the subject of a December 2022 customer complaint alleging that he misrepresented surrender fees associated with the replacement of a life insurance policy. Pruco Securities internally investigated Pelletiere and believed that Pelletiere accepted cash from a customer and deposited the cash into his own personal account.

Mr. Pelletiere was a financial advisor and registered representative of Pruco Securities from June 2019 to October 2022. He was also affiliated with Pruco Securities’ affiliate, Prudential Insurance. He worked in a branch office in Downers Grove, Illinois.

FINRA Rule 8210 requires stockbrokers and financial advisors like Pelletiere have to respond to FINRA investigations. Advisors are often barred for failing to respond to such investigations.

Our law firm represents investors throughout the Chicagoland area. Attorney David Neuman grew up in the western suburbs in nearby Addison and still maintains his Illinois law license.

VIEW FINRA AWC HERE VIEW BROKERCHECK HERE