Alexander Schwartz at PRUCO SECURITIES, LLC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 5383949

Disclosure #1 for Alexander Schwartz

    • Event Date: 4/29/2020
    • Disclosure Type: Employment Separation After Allegations
    • Resolution:
    • Firm Name: Allstate Insurance Company
    • Termination Type: Discharged
    • Allegations: Termination by Parent Property and Casualty Insurance Company after allegations of falsifying payment information by paying the down payments on customers’ property and casualty insurance policies. Not securities related. While true, there were allegations made concerning ‘investment-related’ statutes, regulations, rules or industry standards of conduct, an arbitration Panel unanimously found, that Alexander Schwartz actually violated no ‘investment-related’ guidance of any kind.

Should I file a FINRA complaint against brokers like Alexander Schwartz?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by Alexander Schwartz’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About Alexander Schwartz

What is Alexander Schwartz’s Central Registration Depository (CRD) Number?

Which firm is Alexander Schwartz associated with?


Where is Alexander Schwartz located?

2700 Kelly Road, Warrington, PA, 18976

Where can I find more details about Alexander Schwartz’s Investment Firm?

Visit to read a detailed report for PRUCO SECURITIES, LLC.

Are there any disclosures, allegations or complaints filed against Alexander Schwartz?

Yes. There are disclosures, allegations, or complaints filed against Alexander Schwartz. Click here to view all details

Where can I download a detailed FINRA report for Alexander Schwartz?

Click here to download a detailed FINRA report for Alexander Schwartz

Is it safe to do business with Alexander Schwartz?

We’re not sure. Please research Alexander Schwartz’s disclosures, allegations and complaints before taking a decision

The views and opinions expressed in these articles are those of the source and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.

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