Articles Tagged with PFS Investments Inc.

There are Recent Customer Complaints with Broker Ashley Upson in Firm PFS Investments Inc.

February 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 21, 2023.

CLIENT ALLEGES THAT I MISREPRESENTED THE FEATURES OF HIS VARIABLE ANNUITY CONTRACT

Broker Galen Williams in PFS Investments Inc. Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Williams (Williams), currently associated with PFS Investments Inc., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $13,000.00 on December 14, 2024.

The customer alleges the rr made a poor recommendation due to perceived poor performance of a mutual fund.