Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Orielly (Orielly), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Orielly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.
Client alleged I failed to actively monitor and manage his brokerage mutual fund accounts, despite not being required to do so, and thereby caused him to miss market gains.