DID LISA MIYO BROUGHTON CAUSE YOU INVESTMENT LOSSES?
About Lisa Broughton of PFS Investments Inc.?
Lisa Broughton (CRD #2595215) , has been with PFS Investments Inc. since May 1995 and is registered with one self-regulatory organization (SRO). She holds licenses in three U.S. states and territories. Her qualifications include passing two general industry/product exams (Series 6 and the Securities Industry Essentials) and one state securities law exam (Series 63). She conducts investment sales activities from Penacook, New Hampshire, and is also involved with other business activities, including property management and real estate rentals.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Lisa Broughton Customer Complaints and Reviews
Total Incidents: 1 pending customer dispute
- Pending Dispute:
- Date: Notice received on March 13, 2024
- Allegations: The beneficiary of a PFS Investments customer account filed a small claims lawsuit alleging that Broughton embezzled $1,800 and negligently caused $20,000 in investment losses.
- Product Type: Variable annuity
- Alleged Damages: $10,000
- Forum: State Court, 6th Circuit – District Division – Franklin – State of New Hampshire – Small Claims
Allegations Against Lisa Broughton
Pending Dispute: Accusations of embezzlement and negligent investment advice resulting in $10,000 in damages related to a variable annuity.
Lisa Broughton Red Flags & Your Rights As An Investor
Of course, Lisa Broughton 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 Lisa Broughton at PFS Investments Inc. on alert to review carefully the activity and performance of their accounts and question whether Lisa Brought on 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 the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At PFS Investments Inc. Due To Lisa Broughton
If you have questions about PFS Investments Inc. and/or Lisa Broughton 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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