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FINRA Bars Former Pruco Securities Rep for Refusing to Participate in...

The Financial Industry Regulatory Authority has barred Joseph Viet Duy Phan, a former Pruco Securities representative, for refusing to provide on-the-record testimony in connection...

FINRA Bars Former Pruco Broker for Forging VA Applications to Meet...

The Financial Industry Regulatory Authority has barred Karen Paek, a former Pruco Securities broker, for creating and submitting multiple fictitious variable annuity applications to...

CR Capital Names Former Stira Capital Markets VP to Head National...

CR Capital Group, a developer of distribution platforms, has named Sean McEntegart as senior vice president of national accounts. In his new role, he...