Tag Archives: PFS Investment Inc.

FINRA Bars PFS Stockbroker For In Investigation

June 03, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Bars PFS Stockbroker For In Investigation

Irene Padrick Engard (also known as Irene Pa Smith) of Federal Way Washington a stockbroker formerly employed by PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on her consent to findings that she failed to cooperate with FINRA personnel while she was under […]

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PFS Stockbroker Barred By FINRA Investigation

Sara Rene Wilhite of Vista California a stockbroker formerly employed by PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that she failed to provide information to FINRA concerning her business activities. Case No. 2017055517301 (Feb. 20, 2018). Wilhite was suspended by […]

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PFS Broker Barred For Obstructing FINRA Investigation

November 01, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

Dartanian VJ Sanders, of Metairie, Louisiana, a stockbroker formerly registered with PFS Investment Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member by consenting to findings that he failed to cooperate in a FINRA investigation into allegations that Sanders entered into improper lending arrangements with the firm’s customers. Letter […]

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