According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Davie Ambrose (Ambrose), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Ambrose recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Therrien (Therrien), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Therrien recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herman Hague (Hague), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Hague recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeremiah Roman (Roman) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Roman was employed by PFS Investments INC.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pollmann (Pollmann), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Pollmann recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Wooden (Wooden), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Wooden recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Hirata (Hirata), previously associated with PFS Investments INC., has at least one disclosable event. These events include one regulatory event, alleging that Hirata recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Archimede (Archimede), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Archimede recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Reis (Reis), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Reis recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julio Rodriguez (Rodriguez), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations…