PFS Investments problem Archives - Rex Securities Law-BLOG

Rex Securities Law
November 19, 2020
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2020 November 19, 2020

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…

Rex Securities Law
June 23, 2020
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2020 June 23, 2020

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.…

Rex Securities Law
April 14, 2020
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 14, 2020 April 14, 2020

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…

Rex Securities Law
November 11, 2015
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 July 17, 2016

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…

Rex Securities Law
August 24, 2015
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 24, 2015 July 17, 2016

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…

Rex Securities Law
August 12, 2015
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Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator

Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 12, 2015 July 17, 2016

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