Christopher Denis Fired from PFS Investments Following FINRA Suspension

Christopher Denis (CRD #: 7315092), a broker formerly registered with PFS Investments, was fired from that firm, according to his BrokerCheck record, accessed on May 7, 2025. If you have questions about his alleged conduct as a broker, read on.

Termination from PFS Investments

On April 1, 2025, Christopher Denis was fired from PFS Investments following his entering into a Letter of Acceptance, Waiver & Consent (AWC) with FINRA in which he consented to an 18-month suspension from associating with FINRA members.

FINRA Suspension

On March 3, 2025, Christopher Denis consented to the entry of findings that he was allegedly present in the room while his business partner took Securities Industry Essentials (SIE) examinations in November 2021 and June 2022.

According to a Letter of Acceptance, Waiver & Consent (AWC), Christopher Denis’ business partner allegedly took these SIE examinations remotely from PFS Investments offices, and he allegedly entered the room to assist her in cheating.

The AWC concluded that these allegations constituted a violation of FINRA Rule 2010.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Christopher Denis consented to the following sanctions:

• 18-month suspension from associating with FINRA members
• $5,000 fine

His suspension began on April 7, 2025, and will end on October 6, 2026. You can read a copy of the AWC here.

Background Information

Christopher Denis has passed the following exams:

• Investment Company Products/Variable Contracts Principal Examination – Series 26
• Investment Company Products/Variable Contracts Representative Examination – Series 6TO
• Securities Industry Essentials Examination – SIE

He previously worked for PFS Investments (CRD#:10111).

Kurta Law Can Help

If you worked with Christopher Denis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.