Albert Harkless, III, formerly with PFS Investments, Barred by FINRA
Have you lost money with financial advisor Albert Harkless? We are looking into allegations made about Albert Harkless III from Temple Hills, Maryland. FINRA (the Financial Industry Regulatory Authority) barred Harkless from the securities industry. FINRA alleged that Harkless had a customer write a check to him personally to buy stocks, but instead Harkless just pocketed the money.
Albert Harkless was a financial advisor and registered representative of PFS Investments (Primerica) from 2001 to October 2018. He worked in a branch office in Temple Hills, Maryland. Harkless was also terminated by PFS Investments.
Brokerage firms like PFS Investments have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including Maryland. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against PFS Investments (Primerica).