ROCKY JAMES DIGRAZIO

ROCKY JAMES DIGRAZIO is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 30 TECHNOLOGY DR., MT. BETHEL CORP. CENTER, WARREN, NJ, 07059.

ROCKY JAMES DIGRAZIO has worked at PRUCO SECURITIES, LLC. since August 15, 1983

Disclosure History

ROCKY JAMES DIGRAZIO has 2 Disclosure Event(s).

Date: June 06, 2001
Category: Regulatory
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS
Allegations: NASD RULE 2110 - RESPONDENT FAILED TO TIMELY AMEND HIS FORM U4 TO DISCLOSE A NEW JERSEY CONSENT ORDER.
Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $2,500.00 Sanction Details: N/A

Date: January 30, 2000
Category: Regulatory
Initiated By: STATE OF NEW JERSEY DEPARTMENT OF BANKING AND INSURANCE
Allegations: REPLACED EXISITING LIFE INSURANCE POLICIES UNDERWRITTEN BY PRUDENTIAL INSURANCE COMPANY OF AMERICA ON 6 APPLICANTS WITH NEW LIFE INSURANCE UNDERWRITTEN BY PRUDENTIAL WITHOUT PROVIDING THE APPLICANTS WITH THE REQUIRED "NOTICE REGARDING REPLACEMENT OF LIFE INSURANCE" AND "COMPARATIVE INFORMATION FORM." IN VIOLATION F N.J.A.C 11:4-2.4(B) AND N.J.S.A. 17:22A-17A(20).
Resolution: Order SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $5,000.00 Sanction Details: AGREED TO PAY $5000.00 FINE ON 9/15/00
Broker Comment: STATE CONCLUDED THAT I DID NOT SUBMIT REPLACEMENT PAPERS ON SEVERAL LIFE CASES BACK IN 1989-1991.

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