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 and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 08, 2024.
S-23-3690-24-SC01 – Henry Duval (a/k/a Roger Duval) – Statement of Charges\, On October 8, 2024, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist, to Impose Fines and to Charge Costs (\\u201cStatement of Charges\\u201d) against Henry Duval (formerly known as Roger Duval) (\\u201cRespondent\\u201d) of Liberty Lake, Washington. The Statement of Charges alleges that the Respondent violated the anti-fraud provisions of the Securities Act of Washington in connection with funds that he received from a senior citizen client. The Securities Division intends to order the Respondent to cease and desist from violating the Securities Act of Washington and gives notice of its intent to impose a fine and to charge costs. The Respondent has a right to request a hearing on the Statement of Charges.\,
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