Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pollmann (Pollmann), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Pollmann 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 $54,821.00 on September 27, 2022.
CUSTOMER ALLEGES A RECOMMENDATION TO SURRENDER ANNUITY PRODUCTS WAS NOT SUITABLE AND THAT SURRENDER CHARGES WERE NOT ADEQUATELY DISCLOSED.