DID RONALD ALLEN MIMS CAUSE YOU INVESTMENT LOSSES?
Ronald Allen Mims with PFS Investments Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years
Who is Ronald A. Mims with PFS Investments Inc.?
Ronald Mims (CRD #1945590) who is currently registered with PFS Investments Inc. and located in Duluth, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to PFS Investments Inc., Ronald Mims was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.
PFS Investments Inc. Broker Misconduct
In his career, Ronald Mims has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Ronald Mims’ 3 customer complaints were settled in favor of investors.
Allegations Against Ronald Mims
A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:
- Customer alleged that Ronald Mims supplied inaccurate information regarding the qualified variable annuity.
- Customer alleged that Ronald Mims improperly registered his investment account SEP- IRA which resulted in unintended tax consequences.
- Customer alleged Ronald Sims made an incorrect beneficiary designation and an IRA account.
Ronald Mims Red Flags & Your Rights As An Investor
Of course, Ronald Mims did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ronald Mims at PFS Investments Inc. on alert to review carefully the activity and performance of their accounts and question whether Ronald Mims has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At PFS Investments Inc.
If you have questions about PFS Investments Inc. and/or Ronald Mims and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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