Lee Diedrich Terminated by Pruco Securities
Lee Diedrich (CRD #: 2636095), a formerly registered broker, was recently fired from Pruco Securities. This is according to her BrokerCheck record, accessed on May 16, 2022. Details regarding the termination are provided below.
On March 1, 2022, Pruco Securities fired Lee Diedrich following allegations that she admitted to submitting non-genuine client signatures on multiple applications. She also allegedly logged into a client’s account using her credentials.
The use of non-genuine client signatures violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor.
Lee Diedrich has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products /Variable Contract Representative Examination
- Series 26 Investment Company Products/ Variable Contracts Principal Examination
Besides Pruco Securities, Lee Diedrich has never worked for other firms.
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