Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvin Miller (Miller), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $17,275.19 on June 21, 2022.
CUSTOMER ALLEGES THAT I IMPROPERLY ADVISED HER ON REDEEMING A TRUST ACCOUNT AFTER THE TRUSTEE’S DEATH.