Published On: June 7, 2017

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Zena Yofonovich allegedly borrowed money without firm approval. This occurred from June 11, 2007 until May 24, 2009 and borrowed a total of $63,500 from an elderly firm customer. The funds were withdrawn from Yofonovich’s variable annuity held at Pruco Securities. This is against securities laws and resulted in a suspension from the industry of two months. According to FINRA BrokerCheck, Yofonovich was registered with SMA Equities in Worcester, Massachusetts from October 1986 until December 1989, Prudential in Newark, New Jersey from June 1990 until July 1992, Pruco Securities in Newark from June 1990 until July 1992, Pruco Securities in New Jersey from October 1993 until February 2005 and Pruco Securities in Rosemont, Illinois from May 2006 until November 2016. She has one customer dispute pending against her and is currently not registered.
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