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Sean Fields Fired by PFS Investments

Sean Fields (CRD #: 6190319) has been terminated by PFS Investments. This disclosure appears on his BrokerCheck record, accessed on February 9, 2024. Keep reading if you have questions concerning his conduct. 

On January 9, 2024, PFS Investments terminated Sean Fields following an internal review. The representative allegedly admitted to borrowing from two securities clients. 

FINRA Rule 3240

Brokers are only allowed to borrow money from clients under limited circumstances. FINRA Rule 3240 states that brokers may borrow from or lend to clients if those clients are immediate family members. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3240 also violate FINRA Rule 2010. 

Background Information 

Sean Fields has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 26 Investment Company Products/Variable Contracts Principal Examination 

During his eight years of experience, has only ever registered with PFS Investments. 

Kurta Law Can Help 

If you have worked with Sean Fields and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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