PFS Investments Inc.

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.

There are Recent Customer Complaints with Broker Juvenal Gaspar in Firm PFS Investments INC.

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juvenal Gaspar (Gaspar), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaspar 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 $63,000.00 on February 12, 2023.

On February 12, 2023, the firm received an oral complaint from pfsi client [redacted] alleging that registered representative juvenal gaspar misrepresented the investment and it was not suitable for her investment objectives.

Broker Michael Gray in PFS Investments INC. Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 22, 2023.

Customer alleges that i recommended unsuitable investments for their investment objective.

There are Recent Customer Complaints with Broker Steven Sacoolas in Firm PFS Investments INC.

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Sacoolas (Sacoolas), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Sacoolas 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 $100,000.00 on March 07, 2023.

The customer has alleged that investments into mutual funds were not suitable and were not properly described prior to investing

Broker Darwin Morales in PFS Investments INC. Firm Has Customer Complaint

September 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darwin Morales (Morales), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Morales 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 $17,416.38 on March 10, 2023.

[redacted] alleges that i guaranteed a 6% earings annually on the money she invested in lincoln financial annuity. She also alleged that my investment recommendation was not suitable for her investment objectives and financial needs.