Securities Lawyers Blog
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 and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on April 02, 2023.
Customer alleges that mr. Ambrose invested customer’s funds in products without clients understanding or direction.