NICHOLAS LOUIS KEATING is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 801 WEST BAY DR, STE 315, LARGO, FL, 33770.
NICHOLAS LOUIS KEATING has worked at PFS INVESTMENTS INC. since February 02, 1984
NICHOLAS LOUIS KEATING has 2 Disclosure Event(s).
Date: June 04, 1998 Category: Regulatory
Date: May 16, 1997 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGED THAT KEATING TOLD HIM THAT DOLLAR-COST AVERAGING WAS NOT AVAILABLE IN A MUTUAL FUND [CUSTOMER] PURCHASED FROM KEATING. [CUSTOMER] INVESTED A LUMP SUM INTO THE FUND AND THE NAV OF THE FUND DECLINED OVER THE SUCEEDING FIVE MONTHS. SHORTLY AFTER THE TRADE, [CUSTOMER] BECAME SERIES 6 LICENSED (CRD 2735172) WITH PFSI.UPDATE U-4 08/02/2000. PREVIOUS U-4 SUBMISSION WAS ANSWERED IN ERROR.DUPLICATE DISCLOSURE, FILE IN ERRON. PLEASE DELETE OCCURENCE #875602 Damage Amount Requested: $16,697.00 Broker Comment: PFS INVESTMENTS, INC ELECTED TO SETTLE WITH[CUSTOMER] TO AVOID THE TIME AND EXPENSE OF ARBITRATION. PURSUANTTO THE SETTLEMENT, PFSI DEPOSITED $16,697 INTO [CUSTOMER'S] PFSIDUPLICATE DISCLOSURE FILE IN ERROR. PLEASE DELETE OCCURRENCE #875602MUTUAL FUND ACCOUNT AND KEATING WAS REQUIRED TO REFUND TO THEFIRM THE $2,160 IN COMISSIONS HE WAS PREVIOUSLY PAID.[CUSTOMER], WHO I WAS RECRUITING TO BE A PFSI AGENT,TOLD ME HE WANTED ME TO INVEST $400,000 FOR HIM. ICATEGORICALLY DENY [CUSTOMER'S] ALLEGATION THAT I TOLD HIM THATDOLLAR-COST AVERAGING WAS NOT AVAILABLE IN THE SMITH BARNEYCONCERT SERIES OF MUTUAL FUNDS WHICH WE WERE DISCUSSING. WHERETHIS MONEY WAS TO BE INVESTED WAS DISCUSSED WITH HIM OVER ASERIES OF MEETINGS. [CUSTOMER] MAY HAVE MISCONSTRUED SOMETHING ISAID TO HIM ABOUT THE SMITH BARNEY CONCERT SERIES BUT I NEVERTOLD HIM THAT DOLLAR-COST AVERAGING WAS NOT AVAILABLE IN THATSERIES OF MUTUAL FUNDS. [CUSTOMER] MADE THE FINAL DECISION AS TOHOW TO INVEST THE $400,000.
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