Were you the victim of former Pruco Securities, LLC broker Michael Brickman (CRD# 4042866)? He was registered with Pruco Securities, LLC in Paramus, New Jersey, from 2018 to 2023, when he was terminated regarding, “The Company’s review concerns allegations that RR accepted personal checks made out to the RR from a client.”
In February 2024, FINRA barred him after he “consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection to its investigation into whether he accepted personal checks made out to himself from a client.”
Michael Brickman Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
June 2023. “Customer Alleges the rep misrepresented her profile in annuity applications, and improper recommendations resulting in surrender charges and penalties.” The case is currently pending. The complaint took place while he was registered with Pruco Securities, LLC, and it was regarding variable annuities.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Pruco Securities, LLC may be liable for investment or other losses suffered by Michael Brickman’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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