Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Howard (Howard), currently associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 05, 2022.
The customer surrendered a non-qualified variable annuity and received a form 1099-r with a taxable amount for more than she had been told to expect for tax year 2021.