Irene Engard, formerly with PFS Investments, Barred by FINRA
Have you lost money with financial advisor Irene Engard? We are looking into allegations made about Irene P. Engard from Federal Way, Washington. FINRA (the Financial Industry Regulatory Authority) barred Engard from the securities industry. FINRA alleged that Engard has failed to respond to its investigation, regarding allegations that she acted outside the scope of her disclosed outside business activities, while associated with her brokerage firm, PFS Investments.
Irene Engard was a financial advisor and registered representative of PFS Investments from 1993 to December 2019. She worked at a branch office in Federal Way, Washington.
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 Seattle, Washington; Phoenix, Arizona; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout the Seattle area. Attorney David Neuman is licensed to practice law in Washington. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against PFS Investments.