GEORGE GENGO NABESHIMA is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 725 KAPIOLANI BOULEVARD, SUITE C-208, HONOLULU, HI, 96813.
GEORGE GENGO NABESHIMA has worked at PRUCO SECURITIES, LLC. since July 13, 1995
Disclosure History
GEORGE GENGO NABESHIMA has 2 Disclosure Event(s).
Date: October 07, 2009 Category: Customer Dispute Allegations: REGARDING THE PURCHASE OF AN ANNUTIES CONTRACT, THE CLIENT ALLEGED MISREPRESENTATION CONCERNING INVESTMENT OBJECTIVES. Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH FINRA RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
Date: October 27, 2008 Category: Customer Dispute Allegations: REGARDING THE 2008 PURCHASE OF AN ANNUITIES POLICY, THE REGISTERED REPRESENATIVE MADE MISSTATEMENTS CONCERNING THE OPERATION OF A VARIABLE ANNUITY CONTRACT. Settlement Amount: $21,806.88 Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH FINRA RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.THE MATTER WAS SETTLED BY THE FIRM, HOWEVER, THE FINDINGS WERE NOT ASSOCIATED WITH ANY ACTIONS TAKEN BY MR. NABESHIMA.
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