JOHN WESLEY PRESTON

JOHN WESLEY PRESTON is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 2000 CENTER POINT ROAD, 2ND FLOOR, SUITE 2225, COLUMBIA, SC, 29210-5824.

JOHN WESLEY PRESTON has worked at PRUCO SECURITIES, LLC. since February 03, 2015

Disclosure History

JOHN WESLEY PRESTON has 11 Disclosure Event(s).

Date: January 19, 2004
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Dismissed
Broker Comment: CASE WAS DISMISSED

Date: January 17, 2004
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Dismissed
Broker Comment: CASE WAS DISMISSED

Date: December 29, 2003
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Dismissed
Broker Comment: CASE WAS DISMISSED

Date: December 06, 2003
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Dismissed
Broker Comment: CASE WAS DISMISSED

Date: August 11, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: TRAFFIC CITATION, ASSESSED 0 POINTS
Amended Charge Type: OTHER

Date: June 26, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: REDUCED TO TRAFFIC CITATION, 0 POINTS
Amended Charge Type: OTHER

Date: June 24, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: REDUCED TO TRAFFIC CITATION
Amended Charge Type: OTHER

Date: May 10, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: REDUCED TO TRAFFIC CITATION, 0 POINTS
Amended Charge Type: OTHER

Date: May 07, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: REDUCED TO TRAFFIC CITATION, 0 POINTS
Amended Charge Type: OTHER

Date: May 06, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: REDUCED TO TRAFFIC CITATION, 0 POINTS
Amended Charge Type: OTHER

Date: May 04, 1997
Category: Criminal
Charges: FRAUDULENT CHECK
Disposition: Reduced
Amended Charges: REDUCED TO TRAFFIC CITATION, 0 POINTS
Amended Charge Type: OTHER

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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