Dartanian Sanders; PFS Investments

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Dartanian Sanders, a former registered broker with PFS Investments, was being investigated for participating in certain outside business activities. A broker is not allowed to participate in outside business activities without disclosing it to his member firm. It is against securities laws, and PFS Investments can be held liable for investment losses because the firm had a duty to reasonably supervise its brokers. Sanders was barred from the industry for refusing to show up for a FINRA on-the-record testimony against him.

Sanders was previously registered with PFS Investments in Duluth, Georgia from February 2000 until December 2005, PFS in Mandeville, Louisiana from May 2006 until September 2010, PFS in Metairie, Louisiana from November 2011 until June 2016 and PFS in Metairie from June 2016 until January 2017. He is currently not registered within the industry, according to his online, FINRA BrokerCheck report. Please call us today at 312–332–4200 if you suffered losses with Sanders and PFS Investments. We may be able to sue PFS in the FINRA arbitration forum on a contingency fee basis.

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