Arturo Nunez, formerly with PFS Investments, Barred from Securities Industry

– Miami Lakes, Florida

Have you lost money with financial advisor Arturo Nunez from Miami Lakes, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Arturo  Nunez. FINRA barred Nunez from the securities industry after he failed to respond to an investigation.  Nunez was being investigated regarding allegations that he improperly shared commissions.  Nunez was also terminated by his former brokerage firm, PFS Investments, (Primerica Financial) for “sales practice issues” regarding variable annuities and mutual funds.

Arturo A. Nunez was a registered representative and financial advisor with PFS Investments (also known as Primerica Financial Services) from 2006 to November 2017.  He worked out of a branch office in Miami Lakes, Florida.

Broker-dealers like PFS Investments have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our firm represents investors throughout the country who are victims of financial advisors’ negligence and fraud in FINRA arbitration.  Our firm has offices in Seattle and Denver, and we continue to represent investors throughout the U.S., including in Florida.  Our attorneys have recovered millions of dollars for our clients against numerous brokerage firms, including PFS Investments (Primerica).

Click to view:  Nunez, Arturo FINRA AWC

Click to view:  Nunez, Arturo BrokerCheck 11.28.18

If you have lost money with Arturo Nunez and PFS Investments, and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or call us at 720-599-3505.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.