Articles Tagged with Pruco Securities

Karen PaekPublic 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.

Kwimin AhnPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that former New York-based Pruco Securities broker Kwimin Ahn, who has received a customer dispute was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ahn (CRD# 4361230).

Kwimin Ahn, also known as Ken Ahn, has spent 16 years in the securities industry and was most recently registered with Pruco Securities in New York, New York (2001-2017). He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 23, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 30, 2001; Series 7 (General Securities Representative Examination), which he obtained on April 2, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 23, 2001; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on September 30, 2003. He is currently not registered with any state or firm.

According to his BrokerCheck report, Kwimin Ahn has received one customer complaint and was discharged from his former employer in connection to alleged rule violations.

Jeffrey Delaney

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former South Carolina-based Pruco Securities broker Jeffrey Delaney has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delaney (CRD# 4199148).

Jeffrey Delaney has spent 2 years in the securities industry and was most recently registered with Pruco Securities in Columbia, South Carolina (2015-2016). He was previously registered with Sagepoint Financial in Columbus, Georgia (2014-2015). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination).

According to his BrokerCheck report, Jeffrey Delaney has been sanctioned by FINRA, has received one customer complaint, and was discharged from his former employer.

Cathy EarnestPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that former Illinois-based Pruco Securities broker/adviser Cathy Earnest, also known as Kathy Rue, has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Earnest (CRD# 2606992).

Cathy Earnest has spent 19 years in the securities industry and was registered with Pruco Securities in Chicago, Illinois from 1995-2015). She has no previous registrations. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and one pending customer complaint.

Terry Bagwell

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former Alabama-based Pruco Securities broker Terry Bagwell has been the subject of numerous resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bagwell (CRD# 2298887).

Terry Bagwell has spent 21 years in the securities industry and was most recently registered with Pruco Securities in Birmingham, Alabama (2011-2015). Previous registrations include Metlife Securities in Birmingham, Alabama; Metropolitan Life Insurance Company in Birmingham, Alabama; AXA Advisors in New York, New York; and the Equitable Life Assurance Society of the United States in New York, New York. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 26 (Investment Company Products/Variable Contracts Principal Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction, one pending complaint by the Alabama Securities Commission, eleven customer complaints, and four pending customer complaints.

Fernando PohinaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Washington-based Hornor Townsend & Kent broker/adviser Fernando Pohina has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pohina (CRD# 5624328).

Fernando Pohina has spent six years in the securities industry and has been registered with Hornor Townsend & Kent in Bellevue, Washington since March 2015. Previous registrations include Pruco Securities in Bellevue, Washington (2013-2014) and AXA Advisors in Bellevue, Washington (2009-2013). He is a registered broker and investment adviser with four US states: California, Colorado, Texas, and Washington. Continue Reading