Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

December 23, 2020

Pruco Securities, LLC

Trading and Pricing


Defendants: Pruco Securities, LLC

Respondent, a dually-registered investment adviser and broker-dealer, agreed to settle charges for breaches of fiduciary duty to advisory clients in its wrap fee programs. The SEC found: client accounts not monitored for suitability; unnecessary fees with conflicts of interest not disclosed; and inaccurate fee calculations.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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