PFS Investments Inc.

Broker Steven Hirata in PFS Investments INC. Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on December 26, 2023.

Respondent Hirata failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Michael Archimede in Firm PFS Investments INC.

July 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $80,000.00 on April 28, 2025.

Michael Archimede allegedly borrowed money from James Hill in November and December, 2023.

Broker Thomas Reis in PFS Investments INC. Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on May 16, 2025.

Customer alleges RR provided poor service by not pushing hard enough to get a rollover transaction completed fast enough to avoid a downturn in the market.

There are Recent Customer Complaints with Broker Julio Rodriguez in Firm PFS Investments INC.

July 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 04, 2023.

THE STATEMENT OF CLAIM ALLEGES THAT JULIO RODRIGUEZ DID NOT DISCLOSE ALL THE FEATURES OF THE MUTUAL FUNDS AND VARIABLE ANNUITY AND THE PRODUCTS WERE UNSUITABLE FOR THE CLIENT’S FINANCIAL NEEDS

Broker Scott Dutton in PFS Investments INC. Firm Has Customer Complaint

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Dutton (Dutton), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dutton 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 $6,000.00 on November 14, 2023.

The customer alleged that market risks and volatility were not adequately disclosed and recommendations were not suited to a short-term time horizon.

Broker Maneesh Gupta in PFS Investments INC. Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maneesh Gupta (Gupta), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gupta 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 $17,869.55 on February 26, 2024.

Customer alleged I misrepresented the features of his fixed annuity contracts.

Broker Jeffrey Feldhusen in PFS Investments INC. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Customers alleged that they were not aware of the contract fees and were concerned about the market losses and performance of the contracts.

There are Recent Customer Complaints with Broker Juan Barrios in Firm PFS Investments INC.

May 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 20, 2025.

Client alleged I misrepresented the features of her variable annuity contract.

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

May 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $18,018.87 on March 18, 2025.

Customer alleges trade instructions were not timely submitted, resulting in decreased account value due to market fluctuation.

Broker Kevin Hobbs in PFS Investments INC. Firm Has Customer Complaint

May 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 10, 2024.

Respondent Hobbs failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.