MARTIN PAUL DUMONT

MARTIN PAUL DUMONT is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 73 CREST DRIVE, SOMERSWORTH, NH, 03878.

MARTIN PAUL DUMONT has worked at PRUCO SECURITIES, LLC. since August 12, 1983

Disclosure History

MARTIN PAUL DUMONT has 2 Disclosure Event(s).

Date: November 25, 2013
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT THE REPRESENTATIVE DID NOT FULLY DISCLOSE ALL THE FACTS REGARDING THE FUNDING VIA ACCUMULATED DIVIDENDS.

Date: November 15, 2013
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT THE REPRESENTATIVE DID NOT FULLY DISCLOSE ALL THE FACTS REGARDING THE FUNDING VIA ACCUMULATED DIVIDENDS & PREMIUM INCREASE

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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