Articles Tagged with PFS Investments

Daniel Winger

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Washington-based PFS Investments broker Daniel Winger has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Winger (CRD# 1542674).

Daniel Winger has spent thirty-one years in the securities industry and was registered with PFS Investments in Federal Way, Washington from 1986 until August 2018. He has no previous registrations. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 12, 1986; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1986; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on November 8, 1988. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint.

PFS InvestmentsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Georgia-based broker-dealer and advisory firm PFS Investments has received regulatory sanctions and customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding PFS Investments (CRD# 10111).

Established in George in July 1981, PFS Investments is headquartered in Duluth, Georgia and registered with 53 US states and territories. It is owned by Primerica Finance Corporation. According to the firm’s BrokerCheck report, it has received 17 regulatory events and three customer complaints that evolved into arbitration.

In 2013 the State of Nevada sanctioned PFS Investments in connection to allegations the firm accepted the the representation by one of its representatives, Chris Howard, that he had served a role in another company as a “as passive investment when, in fact, it had evolved over time,” and that the firm did not have a procedure that required representatives to disclose compensation they received from “outside motivational speakers in connection with seminars” that firm representatives are required to pay to attend. The firm was issued a fine of $9,000.

William Staudacher

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that Texas-based PFS Investments broker William Staudacher has been sanctioned by FINRA in connection to alleged misconduct. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Staudacher (CRD# 2878221).

William Staudacher has spent nineteen years in the securities industry and has been registered with PFS Investments in Dallas, Texas since 1997. He has no previous registrations. He is a registered broker with eleven US states and territories.

According to his BrokerCheck report, William Staudacher has received one customer complaint and one FINRA sanction.

Richard BlackwoodPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Florida-based PFS Investments broker Richard Blackwood has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Blackwood (CRD# 4269512).

Richard Blackwood has spent thirteen years in the securities industry and has been registered with PFS Investments in Melbourne, Florida since 2012. Previous registrations include Investors Capital in Melbourne Beach, Florida; Citigroup Global Markets in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance Company in Minneapolis, Minnesota. He is a registered broker in Florida.

According to his BrokerCheck report, Richard Blackwood has received one customer complaint.

Ricardo Sanchez Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based PFS Investments broker Ricardo Sanchez has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 2341541).

Ricardo Sanchez has spent 3 years in the securities industry and has been registered with PFS Investments in Miami, Florida since 2000. Previous registrations include WM Financial Services in Irvine, California; Nationsbanc Investments in Boston, Massachusetts; Nations Securities; First Union Brokerage Services in Charlotte, North Carolina; Great Western Financial Securities in Northridge, California; and GKN Securities in New York, New York. He is a registered broker in Florida, Illinois, and New York. Continue Reading

Charles MorrisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Florida-based PFS Investments broker Charles Morris has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Morris (CRD# 5037033).

Charles Morris has spent 10 years in the securities industry and has been registered with PFS Investments in Greenacres, Florida since 2005. He has no previous registrations. He is a registered broker in Florida and New Jersey. Continue Reading

Perry De LeeuwPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that former Georgia-based PFS Investments broker Perry De Leeuw is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. De Leeuw (CRD# 4792703).

Perry De Leeuw has spent 11 years in the securities industry and was most recently registered with PFS Investments in Duluth, Georgia (2004-2016). He has no previous registrations. He is currently not registered with any state or firm. Continue Reading

Joseph PetryNew York-based HBW Securities broker Joseph Petry is currently not licensed to act as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Petry (CRD# 4649782).

Joseph Petry has spent nine years in the securities industry and was most recently registered with HBW Securities in Latham, New York (2008-2016). He was previously registered with PFS Investments in Duluth, Georgia (2003-2006). He is currently not registered with any state or firm.

According to his BrokerCheck report, Joseph Petry is the subject of two customer complaints. Continue Reading