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…

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…

Barkley JW Lundy Jr. (also known as Mike Lundy Jr.) of Rapid City South Dakota a stockbroker formerly registered with PFS Investments Inc. has been barred by Securities and Exchange Commission (SEC) from having any association with any broker or investment adviser according to an Order containing findings that Lundy committed fraud. In the Matter…

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….

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,…

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….