Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maneesh Gupta (Gupta), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gupta 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 $17,869.55 on February 26, 2024.
Customer alleged I misrepresented the features of his fixed annuity contracts.