Michael Brickman


March 26, 2024

Type of alert:

Unsuitable Recommendations  

Michael Craig Brickman was permanently barred by the Financial Industry Regulatory Authority (FINRA) after he refused to comply with investigations into alleged misconduct. Brickman was a registered representative at Pruco Securities, LLC until he was terminated in 2023. His full employment history—and the allegations against Mr. Brickman—can be viewed on his BrokerCheck report, available here: https://brokercheck.finra.org/individual/summary/4042866.

According to publicly available information, the New Jersey broker “voluntarily resigned” from Pruco Securities following allegations that he accepted personal checks made out to him from a client, a significant “red flag.” Mr. Brickman is also the subject of a lawsuit arising out of allegations that he made various misrepresentations in the sale of fixed annuities, which caused substantial losses. Fixed annuities are insurance products that often have high commissions and fees, for customers but generate large commissions for the brokers who recommend them.

Investment professionals have a duty to only recommend suitable investment products and put their clients’ interests before their own. And brokerage firms like Pruco Securities must supervise their registered representatives to prevent misconduct. If you believe you have been wronged by an investment professional, ChapmanAlbin can provide you with a free consultation to see if you have a case.

Contact Us If You Believe You Have a Case

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