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FINRA Awards for PFS Investments Inc.

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Displaying 11-15 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0210410/08/2013Claimant(s): Laylianny and Juan Daniel Otero-Ortiz Tr
Claimant Lawyers(s): Alfredo Castellanos
Respondent(s): Nilsa Ortiz-Alvarado, PFS Investments Inc.
Respondent Lawyers(s): Alfredo Castellanos, Brett A. Rogers
Arbitrator(s): Bernard A. Becker, S. William Gersten, Richard J. Kaplan
Hearing Site: San Juan, PR
Checkmark Icon$0
12-0008507/08/2013Claimant(s): Valerie Ward
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Luis Scott, PFS Investments Inc.
Respondent Lawyers(s): Brett A. Rogers, Mark F. Raymond
Arbitrator(s): Martin A. Feigenbaum, Elena G. Rodriguez, Joseph Michael Matthews
Hearing Site: Miami, FL
Checkmark Icon$0
12-0036106/04/2013Claimant(s): Bernetta DeShazior
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Lawrence Cook, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Thomas Czinner, William R. Alheim, Paul Chernis
Hearing Site: Miami, FL
Checkmark Icon$187,500
11-0475104/12/2013Claimant(s): Robert Schneider
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Kenneth Hobbs, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Joseph L. Bernstein, Nancy J. Cliff, Richard S. Herman
Hearing Site: Miami, FL
Checkmark Icon$0
08-0501601/03/2011Claimant(s): Family Bypass Trust of the Gordon Family, Gordon Investment Trust, Surviving Spouse's Trust
Claimant Lawyers(s): Scott Shapiro, Steve Buchwalter
Respondent(s): Grace Stclair, PFS Investments Inc., Primerica Financial Services, The Travelers Life and Annuity Company
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Kenneth I. Rosenblum, Melvin S. Feldman, Robert Dean McKinley
Hearing Site: Los Angeles, CA
Checkmark Icon$477,867

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