According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Duval (Duval), previously associated with Pruco Securities, Llc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duval recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Duval (Duval), previously associated with Pruco Securities, Llc., has at least one disclosable event. These events include one tax lien, alleging that Duval recommended unsuitable investments in different investment products including debt securities among other allegations…
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