Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Houston (Houston), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Houston recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $9,031.21 on March 04, 2026.
Client alleged I failed to disclose CDSC fees when she fully redeemed her mutual fund accounts after being invested only three months with no front-end sales charges.