Securities Lawyers Blog
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.