Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with PFS Investments. If you suffered losses investing with PFS Investments, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
PFS Investments (CRD# 10111) (SEC# 801-72263, 8-26486)
As of April 4, 2020, PFS Investments’s FINRA BrokerCheck Report contains the following:
18 Regulatory Event Disclosures
2 Arbitration Disclosures
2 Bond Disclosures
Main Office Location
1 PRIMERICA PARKWAY
DULUTH, GA 30099-0001
UNITED STATES
Mailing Address
1 PRIMERICA PARKWAY
DULUTH, GA 30099-0001
UNITED STATES
Business Telephone Number
770-381-1000
Direct Owners and Executive Officers
PRIMERICA FINANCE CORPORATION, DIRECT OWNER
FARANDA, ESTELLE DIANE (CRD#:2485373), DIRECTOR AND CHIEF EXECUTIVE OFFICER
FENDLER, JEFFREY SCOTT (CRD#:1241839), EXECUTIVE VICE PRESIDENT
GRUBENHOFF, SHARON KING (CRD#:2234267), SENIOR VICE PRESIDENT, TREASURER, AND CHIEF FINANCIAL OFFICER
KELLY, WILLIAM ADDAMS, EXECUTIVE VICE PRESIDENT
KYLE-MITCHELL, CYNTHIA EILEEN, DIRECTOR; EXECUTIVE VICE PRESIDENT-OPERATIONS
MILLER, DEBORAH (CRD#:3036949), EXECUTIVE VICE PRESIDENT
NEMETZ, WILLIAM JAMES (CRD#:4589878), EXECUTIVE VICE PRESIDENT
RIVET, LORI ALLISON (CRD#:4496273), EXECUTIVE VICE PRESIDENT
SIEGEL, DAVID HOWARD, DIRECTOR AND PRESIDENT
SUKIN, KAREN LYNN (CRD#:6292138), EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL
WATTS, JOHN SIMMERMAN III, SENIOR VICE PRESIDENT AND CHIEF COUNSEL
WOODRING, DANIEL AARON (CRD#:4028705), EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with PFS Investments and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
