JOHN WINTERS

JOHN WINTERS is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 150 MOTOR PKWY, STE 401, HAUPPAUGE, NY, 11788.

JOHN WINTERS has worked at PFS INVESTMENTS INC. since April 20, 2016

Disclosure History

JOHN WINTERS has 2 Disclosure Event(s).

Date: March 24, 2016
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: June 09, 2009
Category: Employment Separation After Allegations
Firm Name: WALDBAUMS, INC.
Termination Type: Discharged
Allegations: GRAND LARCENY & FALSIFYING BUSINESS RECORDS IN THE FIRST DEGREE.
Broker Comment: TERMINATION IMMEDIATELY FOLLOWED CHARGES

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JOHN WINTERS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.