PAUL ROGER SHEINKOPF is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 18 EAST OVERLOOK TERRACE, CHARLESTOWN, RI, 02813.
PAUL ROGER SHEINKOPF has worked at PRUCO SECURITIES, LLC. since September 12, 1983
PAUL ROGER SHEINKOPF has 2 Disclosure Event(s).
Date: November 30, 2013 Category: Regulatory Initiated By: NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES Allegations: THAT I DEMONSTRATED FINANCIAL IRRESPONSIBILITY IN PROVIDING MISLEADING INFORMATION ON THE DISCLOSURE STATEMENT THAT WAS EXECUTED DURING THE POLICY REPLACEMENT FOR CLIENT, IN THAT I FAILED TO DISCLOSE THAT THERE WAS AN OUTSTANDING LOAN ON THE POLICY AND THAT THE LOAN WOULD BE RECOGNIZED AS A GAIN AND IS SUBJECT TO INCOME TAX.THIS WAS A NON-REGISTERED INSURANCE PRODUCT. Resolution: PAID $1,500 FINE. SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $1,500.00 Broker Comment: MY PREVIOUS CUSTOMER COMPLAINT WAS RESOLVED BY PRUDENTIAL ALREADY. THIS ACTION FROM NYS DEPT. OF FINANCIAL SERVICES IS NEW, WITH NO PRIOR INDICATION OF ANY ACTION IN THE PAST.
Date: October 01, 2011 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THE REP DID NOT FULLY DISCLOSE ALL THE FACTS REGARDING TAX CONSEQUENCES. WE DID NOT REPORT ON THE FRONT END BECAUSE IT DID NOT MEET OUR CRITERIA'S FOR REPORTING. COMPLAINT IS BEING REPORTED BECAUSE SETTLEMENT AMOUNT WAS OVER $15,000. Settlement Amount: $27,369.00
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