Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Berrios (Berrios), currently associated with PFS Investments Inc., has at least one disclosable event. These events include one tax lien, alleging that Berrios recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 05, 2024.
Without admitting or denying the findings, Berrios consented to the sanctions and to the entry of findings that he certified to the State of New York that he had personally completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed that continuing education on his behalf.
