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PFS Investments problem

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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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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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 150 150 Rex Securities Law

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…

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David Blasik-Former PFS Investments Broker -Sanctioned by Regulator
David Blasik-Former PFS Investments Broker -Sanctioned by Regulator 150 150 Rex Securities Law

January 28, 2015- Vandalia, Ohio According to FINRA records, David J. Blasik  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Jack R. Kelly, Former PFS Investments Broker, Barred by FINRA
Jack R. Kelly, Former PFS Investments Broker, Barred by FINRA 150 150 Robert H. Rex

In March 2014 the Financial Industry Regulatory Authority barred Millington, Tennessee, broker Jack Richard Kelly from the industry upon findings that he converted $85,000 from customers. Findings state that a customer gave…

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PFS Investments Broker Huel Cox Barred by FINRA for Theft
PFS Investments Broker Huel Cox Barred by FINRA for Theft 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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