Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 23, 2018 indicate that former California-based Pruco Securities broker/adviser Karen Paek was recently discharged from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Paek (CRD# 5985441).
Karen Paek has spent six years in the securities industry and was most recently registered with Pruco Securities in El Segundo, California (2015-2018). She was previously registered with First Investors Corporation in Monrovia, California (2011-2015). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 11, 2017; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on November 11, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 15, 2011. She is currently not registered with any state, firm, or self-regulatory organization (SRO).
According to her FINRA-provided BrokerCheck report, Karen Paek was recently discharged from her former employer in connection to alleged violations of firm policies and procedures.
In February 2018 she was terminated from her position at Pruco Securities in connection to allegations she created several applications for annuity investments as well as customer financial statements that contained “false customer information.” She allegedly also electronically signed customers ‘names on these “non-genuine” applications for annuity products and submitted them to her member firm, in violation of firm policies and procedures.
If you or someone you know has lost money investing with Karen Paek or Pruco Securities, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.