Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashley Upson (Upson), currently associated with PFS Investments Inc., has at least one disclosable event. These events include one customer complaint, alleging that Upson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 21, 2023.
CLIENT ALLEGES THAT I MISREPRESENTED THE FEATURES OF HIS VARIABLE ANNUITY CONTRACT
