Sean Fields Suspended After FINRA Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses
Former PFS INVESTMENTS INC. broker, Sean Fields suspended after FINRA allegations.
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
SEAN JEFFEREY FIELDS (CRD#: 6190319), a former broker for PFS INVESTMENTS INC., in Concord, CA, was suspended by FINRA after allegations.
Fields consented to the sanctions and to the entry of findings that he borrowed money from customers without providing notice to or receiving approval from his member firm.
The FINRA findings stated that Fields received loans totaling $55,000 from two firm customers.
Both loans were not documented in anyway but orally agreed to and Fields is currently paying one loan back with interest while the other loan has not been repaid.
The findings also stated that Fields settled a customer complaint without his firm’s knowledge or approval.
Sean J Fields Suspended by FINRA
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 3/11/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.