PFS Investments Inc.

There are Recent Customer Complaints with Broker David Howard in Firm PFS Investments INC.

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Howard (Howard), currently associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2022.

The customer surrendered a non-qualified variable annuity and received a form 1099-r with a taxable amount for more than she had been told to expect for tax year 2021.

Broker Paul Shie in PFS Investments INC. Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Eddie Espinoza in Firm PFS Investments INC.

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eddie Espinoza (Espinoza), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Espinoza 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 $1,824.00 on May 13, 2022.

Complaint alleged that Espinoza collected premiums from clients, but was not applying the funds to the premiums.

There are Recent Customer Complaints with Broker Lester Iseri in Firm PFS Investments INC.

November 23, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Alvin Miller in Firm PFS Investments INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvin Miller (Miller), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $17,275.19 on June 21, 2022.

CUSTOMER ALLEGES THAT I IMPROPERLY ADVISED HER ON REDEEMING A TRUST ACCOUNT AFTER THE TRUSTEE’S DEATH.

Broker Ernesto Arcos in PFS Investments INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernesto Arcos (Arcos), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Arcos 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 $30,000.00 on July 18, 2022.

I MISTAKENLY ENTERED THE CLIENT’S BANK ACCOUNT INFORMATION, CAUSING HIS REDEMPTION TO BE TRANSFERED TO ANOTHER INDIVIDUAL’S BANK ACCOUNT.

Broker Anthony Dorsey in PFS Investments INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dorsey (Dorsey), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dorsey 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 $31,131.66 on January 04, 2023.

CUSTOMER ALLEGED I FAILED TO INFORM HER OF THE FREE-LOOK PERIOD, ALLOWING HER TO SURRENDER HER VARIABLE ANNUITY CONTRACT TIMELY, WITHOUT PENALTY.

Broker Robert Stephens in PFS Investments INC. Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stephens (Stephens), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $21,345.00 on March 14, 2025.

Client alleged I failed to disclose the tax consequences of her Roth IRA conversion.

Broker James Orielly in PFS Investments INC. Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Orielly (Orielly), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Orielly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Client alleged I failed to actively monitor and manage his brokerage mutual fund accounts, despite not being required to do so, and thereby caused him to miss market gains.

There are Recent Customer Complaints with Broker Lanita Nelson in Firm PFS Investments INC.

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanita Nelson (Nelson), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $20,944.09 on February 10, 2023.

Client alleged i misrepresented her variable annuity.