JOSEPH GERARD MURRAY

JOSEPH GERARD MURRAY is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 3914 MIAMI ROAD, SUITE 306, MARIEMONT, OH, 45227.

JOSEPH GERARD MURRAY has worked at PRUCO SECURITIES, LLC. since April 05, 1988

Disclosure History

JOSEPH GERARD MURRAY has 2 Disclosure Event(s).

Date: May 23, 2008
Category: Regulatory

Date: March 28, 2007
Category: Regulatory
Initiated By: NEW YORK STATE INSURANCE DEPARTMENT
Allegations: DISPUTE OVER LICENSING FEES OWED TO STATE
Resolution: Stipulation and Consent SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $500.00 Sanction Details: FINE OF $500.00 PAID ON 11/6/2007

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.

To view the full report for JOSEPH GERARD MURRAY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.