RICKY PAYTON WALLACE

RICKY PAYTON WALLACE is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 1445 El Pardo Drive, Trinity, FL, 34655.

RICKY PAYTON WALLACE has worked at PRUCO SECURITIES, LLC. since June 12, 1986

Disclosure History

RICKY PAYTON WALLACE has 1 Disclosure Event(s).

Date: July 06, 2015
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT REPRESENTATIVE DID NOT FULLY DISCLOSE ALL THE FACTS REGARDING THE TERMS OF THE CONTRACT INCLUDING THE FREE LOOK PROVISION AND SUITABILITY.
Broker Comment: REGISTERED REPRESENTATIVE DENIES THESE ALLEGATIONS.

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.

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