Securities Lawyers Blog
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