Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Shie (Shie), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Shie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 10, 2022.
Customer alleged that i misrepresented the product’s growth features.