Steven Clyne Fired from Pruco Securities for Alleged Failure to Protect Client Information

Steven Clyne (CRD #: 4205356), a broker formerly registered with Pruco Securities, was fired from that firm, according to his BrokerCheck record, accessed on March 13, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Termination from Pruco Securities

On January 27, 2023, Steven Clyne was fired from Pruco Securities after allegedly failing to properly protect the security and confidentiality of client information.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Regulation S-P

Regulation S-P requires firms to protect investors’ personal information, including by providing proper disclosure before sharing client information with unaffiliated third parties.

Background Information

Steven Clyne has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 6TO – Investment Company Products/Variable Contracts Representative Examination
• SIE – Securities Industry Essentials Examination

He previously worked for Pruco Securities (CRD#:5685).

Kurta Law Can Help

If you worked with Steven Clyne 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.