The Former PFS Investments Broker Voluntarily Resigned After Allegations of Misconduct
Broker Joshua Mauk has voluntarily resigned from his position with PFS Investments, Inc. after allegations that he conducted approximately 80 mutual fund cross-fund family switches for dozens of clients. The firm also alleges that the broker misused confidential information, posted improper social media content, and was in breach of agent agreements.
At Meyer Wilson, our investment misconduct misconduct attorneys help to recover losses resulting from negligence or wrongdoing. Whether you have suffered harm as a result of a broker’s unsuitable recommendation or a brokerage firm’s failure to supervise, we might be able to help.
Contact our office today at (614) 532-4576 for a free evaluation to determine whether you have a valid arbitration claim or should pursue a lawsuit against a liable party.
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Employment Separation After Allegations
Registered representative Joshua Paul Mauk (CRD#: 5915472) has ten years of experience. From 2011 until March 2022, he was associated with PFS Investments, Inc.
According to publicly available information on his BrokerCheck report, Mauk voluntarily resigned from his position on March 24, 2022. The firm alleged that the separation was the result of an internal investigation of approximately 80 mutual fund cross-fund family switches for around 70 clients. PFS further alleged that Maul had posted improper social media content, misused confidential information, was in breach of agent agreements, and in violation of other legal duties.
Mauk is currently registered as a broker with Purshe Kaplan Sterling Investments in Merrillville, Indiana.
Investor Claims for Broker Misconduct
Investors who have sustained losses due to broker misconduct may be able to recover losses through a lawsuit or arbitration claim. Common claims against stockbrokers include unsuitable recommendations, misrepresentation, violation of state or federal law, negligence, unauthorized trading, fraud, and breach of fiduciary duty.
Aggrieved investors are strongly encouraged to consult with an experienced attorney. Depending on the situation, an investor may be entitled to compensation. It is important to discuss your legal options with an attorney as soon as possible to determine whether you have a valid claim.
Our lawyers are nationwide leaders in investment fraud cases.
Contact Meyer Wilson for a Free Evaluation
If you invested with a broker accused of wrongdoing and suffered losses, contact our office at (614) 532-4576 for a free consultation. All investor claim evaluations are provided at no cost and without obligation to retain the firm.
The nationally-recognized attorneys at Meyer Wilson have recovered over $350 million since 1999. Our lawyers have decades of combined experience and have represented over 1,000 clients. Get the representation you need and deserve after sustaining losses related to fraud or misconduct.
Recovering Losses Caused by Investment Misconduct.