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Pruco Securities Fires Scott Chapman

Scott Chapman (CRD #: 5747609) was fired by his firm, according to his BrokerCheck record, accessed on July 16, 2022. Keep reading if you have questions about Scott Chapman’s conduct as a broker.

Discharge from Pruco Securities

On April 29, 2022, Pruco Securities fired Scott Chapman for allegedly forging electronic client signatures and forging “wet” client initials on investment applications.

FINRA Rule 2010

Forgery violates FINRA Rule 2010, which requires brokers to uphold high standards of professional honor and ethical conduct. You can read more about forgery here: Stockbroker Forgery and How Investors Can Spot It (kurtalawfirm.com)

Background Information

Scott Chapman 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 6 – Investment Company Products/Variable Contracts Representative Examination

In the past, he has worked for Pruco Securities (CRD#:5685) and Signator Investors (CRD#:468).

Kurta Law Can Help

If you worked with Scott Chapman and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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