Luis S. Jean-Bart (also known as Luis S. Veanbart), of Cranbury, New Jersey, a stockbroker registered with PFS Investments Inc., has been discharged by the securities broker dealer on January 26, 2024, based upon allegations that Jean-Bart accoriding to a State Court complaint, which alleges that Jean-Bart, along with other defendants, caused the plaintiffs to…
Ronnie Rindon Dumag (also known as Ronnie R. Dumag), of Sacramento, California, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Dumag refused to comply with FINRA investigators in connection with its inquiry into his potential conversion of funds from…
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…
Estevao Dias Semedo of Brockton, Massachusetts, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Semedo did not comply with an investigation into his potential outside business activities. Letter of Acceptance, Waiver, and Consent No. 2023078507801 (December 4, 2023). FINRA’s…
Daniel Abraham Santos a stockbroker formerly registered with PFS Investments Inc. in Lancaster, Pennsylvania, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Santos failed to respond to the regulator’s requests for information regarding his outside business activities. FINRA Case No. 20220739513011 (August 25, 2023). According to…
Michael Archimede of Waukesha, Wisconsin, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Archimede refused to provide information and documents and to appear for testimony concerning his potential borrowing of customer funds. Letter of Acceptance, Waiver, and Consent No….
Jeremiah Roman of Coral Springs, Florida, a stockbroker registered with PFS Investments Inc., has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Roman engaged in private securities transactions or selling away during the time that he was associated with PFS Investments…
Jeffrey Dampf of Totowa, New Jersey, a stockbroker registered with PFS Investments Inc., has been barred as a stockbroker by New Jersey Bureau of Securities because Dampf was the subject of a different regulatory enforcement action resulting in his expulsion from the securities industry. New Jersey Bureau of Securities Order (October 19, 2022). Specifically, Dampf…
Kevin Andrew Hobbs of Lake Worth, Florida, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Hobbs provided inaccurate information to FINRA during the time that it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No….
Desiderio Eloy Torrez, of San Diego, California, a stockbroker registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Torrez failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No….
Jake Louis Fruge of Houston, TX, a stockbroker registered with PFS Investments Inc., was the subject of a customer initiated investment related complaint that was settled on June 5, 2020, for $13,648.25 in damages based upon allegations that Fruge made unsuitable recommendations of variable annuities when Fruge was associated with PFS Investments Inc. This is…
Phil Donahue (also known as Joseph Philip Donahue) of Panama City Beach, Florida, a stockbroker currently registered with PFS Investments Inc., has been fined $2,500.00 and suspended for thirty days from associating with any FINRA member in any capacity based upon allegations that Donahue made unsuitable recommendations. Letter of Acceptance Waiver and Consent No. 2020068544901…
Igor Peter Kislitsa of Citrus Heights, California, a stockbroker formerly registered with PFS Investments Inc., has been suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Kislitsa failed to timely comply with a FINRA investigation concerning his involvement in customer accounts while registered…
Igor Peter Kislitsa, of Citrus Heights, California, a stockbroker formerly registered with PFS Investments Inc., has been charged by Financial Industry Regulatory Authority (FINRA) with failing to cooperate with requests during the regulator’s investigation into allegations of Kislitsa’s unauthorized transactions, including completing customers’ applications without customers being present when Kislitsa was employed by PFS Investments….
Robert Frederick Genito, of Bonita Springs, Florida, a stockbroker formerly registered with PFS Investments Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $90,000.00 in damages based upon allegations of Genito failing to pay on a promissory note that he issued to the customer relating to…
Jeffrey Dampf of Totowa New Jersey a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not respond to FINRA’s instructions when he was investigated for possibly misappropriating customer funds while he was registered with…
Perry De Leeuw (also known as Perry Lynn De Leeun and as Perry Lynn Deleeuw) of Duluth Georgia a stockbroker formerly registered with PFS Investments Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $152,715.00 in damages based on accusations of the customer incurring damages after providing…
Juan Manuel Ceja of Medford Oregon a stockbroker formerly registered with PFS investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to comply with FINRA’s investigation into his potential falsification of customer signatures. Letter of Acceptance Waiver and Consent No….
Eric John Vici of Melbourne Florida a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Vici hindered FINRA’s investigation into accusations of his misuse of customer funds. Letter of Acceptance Waiver and Consent No. 2021069176201 (May…
Robert Frederick Genito of Bonita Springs Florida a stockbroker formerly registered with PFS Investments Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages supported by allegations that the customer had been issued a promissory note through Genito and that the stockbroker defaulted on…
Michael Kris Pina of Fort Lauderdale Florida a stockbroker formerly employed by PFS Investments Inc. has been fined $10,000.00 and suspended for sixteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Pina borrowed money from customers of the securities broker dealer. Letter of Acceptance Waiver…
Keith Trevor Rich of Marietta Georgia a stockbroker formerly employed by PFS Investments Inc. and JP Morgan Securities LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Rich engaged in an undisclosed outside business activity while employed by PFS Investments…
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…
Albert Harkless III of Temple Hills Maryland a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted a customer’s funds. Letter of Acceptance Waiver and Consent No. 2018060290901 (Apr. 20, 2020). According to…
Robert Renteria (also known as Roberto Herrera) of El Paso Texas a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Renteria lied to FINRA about borrowing from a customer of PFS Investments. Letter of Acceptance Waiver…
Vitthal Mathurbmas Patel of Denville New Jersey a stockbroker formerly registered with PFS Investments Inc. has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Patel forged customer account documents. Letter of Acceptance Waiver and Consent No….
Diane Qun Zhu of San Francisco California a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Zhu obstructed a FINRA investigation into allegations of her potential outside activities referenced by PFS Investments Inc. when Zhu had…
Arturo Alejandro Nunez of Miami Lakes Florida a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Nunez failed to cooperate in FINRA’s investigation into allegations of his sales practice violations and unauthorized commission splitting arrangement. Letter…
Perry De Leeuw of Duluth Georgia a stockbroker formerly registered with PFS Investments Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages based upon allegations that the customer sustained losses on money provided to Leeuw for an outside business investment that Leeuw supposedly concealed from…
Vitthal Mathurbmas Patel of Denville New Jersey a stockbroker formerly employed by PFS Investments Inc. has been discharged by the firm on August 27, 2018 founded on accusations that Patel forged a customer’s signature to an account document. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on December 17, 2002, a customer filed an…
Damian Serret of Miami Lakes Florida a stockbroker formerly employed by PFS Investments Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Serret failed to provide information to FINRA after it was formally requested of him. Case No. 2017056033901 (July 5, 2018). FINRA…
Daniel Noah Winger of Federal Way Washington a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted funds belonging to a customer of the firm. Letter of Acceptance Waiver and Consent No. 2018059559101…
Arturo Alejandro Nunez of Miami Lakes Florida a stockbroker registered with PFS Investments Inc. has been discharged on October 20, 2017 founded on accusations of the ceasing of all contractual arrangements between Nunez and the firm and its affiliates. The firm contended that Nunez had unresolvable issues related to his sales practices. Nunez has previously…
Donald Lane Preston of Worthington Ohio a stockbroker formerly registered with PFS Investments Inc. has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Preston made unsuitable investment recommendations to customers and false statements to his employer….
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…
Richard Kyle Taylor of Duluth Georgia a stockbroker formerly registered with PFS Investments Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unapproved outside business activities. Letter of Acceptance Waiver and Consent No. 2016049902901 (Apr….
William Upchurch Jr. of Largo Maryland 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 upon allegations that he neglected to provide FINRA with a response to FINRA’s request for Upchurch’s information. Case No. 2015047841901 (Nov. 1, 2016). Apparently,…
Jermaine Joseph, of Hialeah Gardens, Florida, a stockbroker registered with PFS Investments Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on consenting to findings that he commingled a customer’s funds, served as personal representative to a customer in violation of the firm’s policies,…
Paula Louise Harold, of Ontario, California, a stockbroker formerly registered with PFS Investments, Inc., has been fined $5,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that she completed forms to effect an annuity purchase that a customer never authorized. Letter…
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…
Rennie M. Roach, of Avondale, Arizona, a stockbroker formerly registered with PFS Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he declined to provide FINRA staff with information that was requested of him in reference to his business activities. Case No….
Marco A. Daniel, of Chula Vista, California, a stockbroker currently registered with PFS Investments Inc., has been suspended from conducting business with California residents in an insurance capacity pursuant to a California Department of Insurance Order containing findings that Daniel was sanctioned by Financial Industry Regulatory Authority (FINRA) for sales practice violations. PLBS 10438-AP (Apr….
Karonne Tace Carlsen, of San Jose, California, a registered representative currently associated with PFS Investments Inc., has been named in a customer initiated investment related written complaint on April 13, 2017, wherein the customer requested more than $5,000.00 in damages based upon allegations that Carlsen made a faulty investment recommendation for the customer to liquidate…
Gerard F. Cipolla, of Rego Park, New York, a registered representative with PFS Investments Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he obstructed a FINRA investigation into allegations of Cipolla’s unsuitable investment recommendations. Letter of Acceptance, Waiver and Consent,…
Marco Antonio Daniel of Chula Vista, California, a stockbroker with PFS Investments, Inc., was suspended for four months from association with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after engaging in unauthorized loans with a customer and engaging in an unauthorized outside business activity. Letter of Acceptance, Waiver and Consent, No….
Malcolm Jamal Babin, a Stockbrokerwith PFS Investments, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he had failed to cooperate with a FINRA investigation into allegations that Babin had converted customer funds. Letter of Acceptance, Waiver, and Consent No. 20150454876-01 (July 30, 2015). Babin…