LEROY KENNETH HARTUNG is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 3200 NORTH CENTRAL AVENUE, SUITE 600, PHOENIX, AZ, 85012.
LEROY KENNETH HARTUNG has worked at PRUCO SECURITIES, LLC. since June 22, 1989
Disclosure History
LEROY KENNETH HARTUNG has 2 Disclosure Event(s).
Date: December 14, 2010 Category: Customer Dispute Allegations: REGARDING THE 1985 PURCHASE OF A VARIABLE APPRECIABLE LIFE INSURANCE POLICY, THE CLIENT ALLEGED THAT THE AGENT DID NOT DISCLOSE ALL THE FACTS REGARDING THE DURATION OF PAYMENT. Broker Comment: AT LEAST ONE OF THE POLICIES INVOLVED IN THIS COMPLAINT CONCERNS A POLICY INCLUDED IN THE CLASS OF POLICIES THAT WAS THE SUBJECT OF A NATIONWIDE CLASS ACTION SETTLEMENT IN WHICH PRUDENTIAL, ITS INSURANCE AFFILIATES AND PERSONNEL WERE RELEASED CONCERNING LIFE INSURANCE SALES PRACTICES. THE CLASS ACTION SETTLEMENT REMEDIATION PROCESSES FOR ADDRESSING CLAIMS FOR POLICIES INCLUDED IN THE CLASS HAVE CONCLUDED. BECAUSE THE COMPANY AND THE REPRESENTATIVE(S) WERE RELEASED FROM ANY FURTHER LIABILITY OR OBLIGATION WITH RESPECT TO CLAIMS LIKE THOSE MADE BY THE POLICYHOLDER, THE COMPANY IS NOT REVIEWING THIS INQUIRY AND IS MAKING NO FINDING OR FURTHER FILING REGARDING THIS INQUIRY. THIS FILING WILL BE UPDATED SHOULD IT BE WARRANTED AFTER REVIEW OF ANY POLICIES REFERRED TO IN THE COMPLAINT NOT INCLUDED IN THIS CLASS ACTION.
Date: July 18, 1986 Category: Criminal Charges: UNLAWFUL WIRETAP. FELONY. $50.00 Charge Type: FELONY Disposition: FELONY. $50 FINE, CONVICTED OF UNLAWFUL INTERCEPTION OF WIRE SECTION 2511 (1)(A). 3 YEARS PROBATION. PROBATIONCONCLUDED EARLY, AFTER 18 MONTHS. ON 12/22/2000 RECEIVED PRESIDENTIAL PARDON BY WILLIAM CLINTON PRESIDENT OF THE UNITED STATES. Broker Comment: ON 12/22/2000 RECEIVED A PRESIDENTIAL PARDON BY WILLIAM CLINTON, PRESIDENT OF THE UNITED STATES. AS REPORTED PREVIOUSLY 3-1-88, WHILE WORKING AS ASPECIAL AGENT WITH THE UNITED STATES DRUG ENFORCEMENTADMINISTRATION, I INTERCEPTED TELEPHONE CONVERSATIONS OFILLICIT NARCOTICS DISTRIBUTORS, WITHOUT COURT AUTHORIZATION. IDID THIS UPON INSTRUCTIONS AND ENCOURAGEMENT FROM MY SENIORPARTNER AND SUPERVISOR. THE PURPOSE WAS TO STEM THE FLOW OFNARCOTICS, WITHIN THE CONUS, AND NOT FOR MONETARY, PERSONALGAIN OR OTHER RENUMERATION.
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