Articles Tagged with PFS Investments Inc.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Lampley (Lampley), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Lampley 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 $5,709.00 on July 14, 2021.

A CLIENT ALLEGED THAT THE REPRESENTATIVE PROVIDED INCORRECT INFORMATION FOR A ROLLOVER OF FUNDS FROM A STATE EMPLOYEE RETIREMENT PLAN, WHICH LED TO THAT CLIENT INCURRING TAX CONSEQUENCES

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

FINRA BrokerCheck shows a settled customer complaint on August 12, 2021.

STATEMENT OF CLAIM ALLEGES, PRIOR TO DEATH, REP BORROWED MONEY FROM CUSTOMER WHO HAS NOT BEEN FULLY REPAID.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Donahue (Donahue), currently associated with PFS Investments INC., has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Donahue recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 12, 2023.

THE KENTUCKY DEPARTMENT OF INSURANCE TERMINATED MR. DONAHUE’S NON-RESIDENT INSURANCE LICENSE BASED ON VIOLATIONS OF KRS 304.9-140(7) WHICH REQUIRES INSURANCE LICESEES TO MAINTAIN THE APPLICABLE LICENSE IN HIS OR HER HOME STATE IN ORDER TO GOLD A KENTUCKY NON-RESIDENTIAL LICENSE.

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

FINRA BrokerCheck shows a pending customer complaint on October 16, 2025.

Plaintiffs allege they purchased e-commerce stores and digital real estate from Champion E-Com, which was operated by Ian Prukner, Jake Fruge, Mellon Weaver and another individual. Plaintiffs allege, among other things, that he e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of PFS  Investments and the compliant indicates that they made their purchases after Prukner, Fruge and Weaver were no longer associated with PFS Investments.

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

FINRA BrokerCheck shows a pending customer complaint on October 16, 2025.

Plaintiffs allege they purchased e-commerce stores and digital real estate from champion e-com, which was operated by lan prukner, jake fruge, melton weaver and another individual. Plaintiffs allege, among other things, that the e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of pfs investments and the complaint indicates that they made their purchases after prukner, fruge and weaver were no longer associated with pfs investments.

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

FINRA BrokerCheck shows a pending customer complaint on October 16, 2025.

Plaintiffs allege they purchased e-commerce stores and digital real estate from champion e-com, which was operated by lan prukner, jake fruge, melton weaver and another individual. Plaintiffs allege, among other things, that the e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of pfs investments and the complaint indicates that they made their purchases after prukner, fruge and weaver were no longer associated with pfs investments.

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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.

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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.

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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.

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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

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