Gary Francis Harpe, of Farmington Hills, Michigan, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Harpe failed to appear, and failed to provide documents when it conducted an investigation into his activities to identify potential FINRA rule violations. Department…
Gary Francis Harpe of Farmington Hills, Michigan, a stockbroker registered with PFS Investments Inc., is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Harpe based upon allegations that Harpe failed to provide documents and information requested by FINRA in an investigation. Department…