Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernesto Arcos (Arcos), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Arcos 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 $30,000.00 on July 18, 2022.
I MISTAKENLY ENTERED THE CLIENT’S BANK ACCOUNT INFORMATION, CAUSING HIS REDEMPTION TO BE TRANSFERED TO ANOTHER INDIVIDUAL’S BANK ACCOUNT.