Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juvenal Gaspar (Gaspar), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaspar 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 $63,000.00 on February 12, 2023.
On February 12, 2023, the firm received an oral complaint from pfsi client [redacted] alleging that registered representative juvenal gaspar misrepresented the investment and it was not suitable for her investment objectives.