June 21, 2024
Ronnie Rindon Dumag (CRD#:4783585) is a previously registered broker. Broker’s Background He entered the securities industry in 2004 and previously worked with PFS Investments Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 13, 2024, Ronnie Dumag was barred by FINRA for “Without admitting or […]
August 17, 2023
Sean Fields (CRD#: 6790559) is a registered Broker and Investment Adviser. Broker’s Background Sean Fields entered the securities industry in 2017. He has spent his entire career as a Financial Advisor with PFS Investments, Inc. and a registered Investment Adviser Representative with the affiliated Primerica Advisors. Allegations Of Misconduct The Wolper Law Firm has been […]
January 6, 2023
https://brokercheck.finra.org/individual/summary/4759218 Desiderio Torrez (CRD#: 4759218) is a previously registered Broker. Broker’s Background He entered the securities industry in 2005 and previously worked for PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2022, FINRA sanctioned Desiderio […]
June 14, 2022
Steven Hirata (CRD#: 1188927) is a previously registered Broker. Broker’s Background He entered the securities industry in 1984 and previously worked for PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2022, FINRA sanctioned Steven Hirata, […]
January 18, 2022
Igor Peter Kislitsa (CRD#: 6324794) is a previously registered Broker. Broker’s Background He entered the securities industry in 2015 and previously worked for PFS Investments, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2021, a pending sanction […]
October 26, 2021
Jeffrey Dampf (CRD#: 5676205) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2009 and previously worked for PFS Investments, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2021, FINRA sanctioned Jeffrey Dampf, barring him from all capacities indefinitely, […]
April 26, 2019
Derrick Trussell is a former Financial Advisor at PFS Investments Inc. in San Antonio, TX. Derrick Trussel was in the securities industry from 2006 to 2017. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2018, Derrick Trussell was barred by FINRA from associating with any FINRA member firm […]
August 31, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Daniel Winger, a former Financial Adviser at PFS Investments in Federal Way, Washington. Daniel Winger has been in the securities industry since the 1980s. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 28, 2018, FINRA sanctioned Daniel Winger […]