Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lester Iseri (Iseri), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Iseri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 31, 2025.
Client alleged I failed to disclose the tax consequences of transferring non-qualified assets into a mutual fund account with PFSI