WILLIAM JOSEPH DEFAZIO

WILLIAM JOSEPH DEFAZIO is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 5000 STONEWOOD DRIVE, SUITE 210, WEXFORD, PA, 15090.

WILLIAM JOSEPH DEFAZIO has worked at PRUCO SECURITIES, LLC. since October 05, 1989

Disclosure History

WILLIAM JOSEPH DEFAZIO has 1 Disclosure Event(s).

Date: August 21, 2017
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT THE REPRESENTATIVE TRANSFERRED HER IRA ACCOUNT INTO A STOCK COMPANY WITHOUT HER PERMISSION AND LOST ALL OF HER MONEY.
Damage Amount Requested: $22,500.00

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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