RONALD PAUL WEBER is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 7310 TILGHMAN STREET, SUITE 500, ALLENTOWN, PA, 18106.
RONALD PAUL WEBER has worked at PFS INVESTMENTS INC. since March 02, 1987
Disclosure History
RONALD PAUL WEBER has 2 Disclosure Event(s).
Date: March 17, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT THE FEES AND PENALTIES ASSOCIATED WITH HIS INVESTMENT WERE NOT DISCLOSED AT THE TIME OF THE INITIAL INVESTMENT, AND THAT A LATER MOVEMENT OF ADDITIONAL MONIES TO THE SAME ACCOUNT WAS NOT AUTHORIZED. Damage Amount Requested: $16,860.00 Settlement Amount: $11,667.81
Date: July 23, 2002 Category: Customer Dispute Allegations: THE CLIENTS ALLEGE I DID NOT DISCLOSE THAT THEIR INVESTMENT WAS SUBJECT TO CONTINGENT DEFERRED SALES CHARGES, AND THAT I PLACED THEIR CHILDREN'S UGMA EDCATIONAL FUNDS IN INAPPROPRIATE INVESTMENT VEHICLES. Damage Amount Requested: $15,152.79 Settlement Amount: $3,982.55 Broker Comment: THE FIRM INVESTIGAED THE COMPLAINT AND FOUND THE CLIENT'S ALLEGATIONS TO BE UNSUBSTANTIATED;HOWEVER, AS AN ACT OF GOODWILL THE FIRM WAIVED THE CLIENTS DEFERRED SALES CHARGES ON THEIR CHILDREN'S ACCOUNTS.
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