Anthony Mark Farnsworth (Anthony Farnsworth) Previously Suspended from Securities Industry and Permitted to Resign from PFS Investments Inc. -- Goodman & Nekvasil P.A, May Recover Investor Losses
Goodman & Nekvasil P.A, May Recover Investor Losses - Anthony Mark Farnsworth (Anthony Farnsworth) Previously Suspended from Securities Industry and Permitted to Resign from PFS Investments Inc.
From 2003 until Anthony Farnsworth’s resignation in 2013, Anthony Farnsworth was licensed with PFS Investments Inc. According to FINRA records, Anthony Farnsworth was permitted to resign on February 13, 2013. PFS Investments Inc. reported to FINRA that Anthony Farnsworth was permitted to resign after the firm obtained information indicating that Anthony Farnsworth was engaging in an unapproved outside business activity.
Subsequent to Anthony Farnsworth’s resignation, FINRA brought a disciplinary action against Anthony Farnsworth in 2015. FINRA reports that Anthony Farnsworth consented to a 2-month suspension and a $5,000 monetary fine. Anthony Farnsworth consented to the entry of findings that in four instances, Anthony Farnsworth failed to accurately complete Anthony Farnsworth’s member firm’s required application forms, including managed account program applications, a supplemental suitability disclosure, and other internal forms. The findings state that Anthony Farnsworth failed to accurately disclose the source of funds on mutual fund account documentation in four instances, and failed to indicate on certain documents that surrender charges were being incurred. The findings also state that Anthony Farnsworth caused the firm to maintain inaccurate books and records.
If you lost any money on investments with Anthony Farnsworth, you may be able to recover your losses from PFS Investments Inc. This is because PFS Investments Inc. had a duty to supervise Anthony Farnsworth.
If you lost money on investments with Anthony Farnsworth, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against PFS Investments Inc. concerning Anthony Farnsworth’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq, formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any investments with Anthony Farnsworth and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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