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 the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In May of 2020 in FINRA case 2019064765701 Engard was permanently barred from the securities industry to resolve allegations that she refused to provide documents and information requested by FINRA in connection with its investigation of an outside business activity. Engard was permanently barred from FINRA in all capacities.
Engard was employed by PFS Investments, Inc. from October of 1992 until November 2019 when she was discharged after allegations that she refused to produce documents and information requested by FINRA in connection with its investigation of her outside business activity.
If you have losses in an account handled by Irene Engard, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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