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PFS Investments

Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL

Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Kevin Hobbs Investigation June 2023-Lake Worth, FL According to publicly available records Kevin Hobbs a former broker who last worked for Primerica Financial Services (PFS Investments),  discloses a final regulatory matter…

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Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR

Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR 150 150 ER

Juan Ceja Investigation May  2022 – Medford, OR According to publicly available records, Juan Manuel Ceja, a former stockbroker who was last employed by PFS Investments Inc.,  discloses a prior…

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Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX

Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX 150 150 ER

Derrick  Trussell Tom Carter Investment Program Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell,  a  former stockbroker who last worked for PFS Investments Inc. (Primerica) discloses a regulatory…

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Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA

Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA 150 150 Rex Securities Law

November 2020- Federal Way, WA According to publicly available records, former PFS Investments, Inc,  financial advisor Irene Engard,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is…

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Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and 6 Tax Liens-Dallas, TX

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and 6 Tax Liens-Dallas, TX 150 150 Rex Securities Law

June 2020- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and 6 pending IRS liens.…

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Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX

Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX 150 150 Rex Securities Law

April 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) ,  a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…

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Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction

Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction 150 150 Rex Securities Law

January 2017- Dallas, Texas According to publicly available records Daniel W. Staudacher , (CRD# 2878221) ,  a  stockbroker who is currently employed by PFS Investments,  disclose a recent FINRA regulatory action resulting in a…

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Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 150 150 Rex Securities Law

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies

Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Rex Securities Law

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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