Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Williams (Williams), currently associated with PFS Investments Inc., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $13,000.00 on December 14, 2024.
The customer alleges the rr made a poor recommendation due to perceived poor performance of a mutual fund.