Investors potentially incurred losses because of securities broker Ian James Prukner [CRD: 5288581, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ian Prukner worked for PFS Investments Inc. from March 22, 2007, to August 9, 2022. Investors are encouraged to continue reading to find out more about the disclosures involving this securities broker.
Additionally, on October 16, 2025, a PFS Investments Inc. client filed Civil Action No. 4:24-CV-04857 about Ian Prukner. Mainly, the client alleged that Prukner was linked to offering investments tied to e-commerce stores and digital real estate that were considered unregistered securities. For this reason, the investor allegedly sustained damages related to investments. As a result, the client requested compensation from PFS Investments Inc. or Prukner. Evidently, this civil suit is pending a resolution.
Particularly, FINRA issued Case: 2022074939301 on November 28, 2023, sanctioning Ian Prukner for infractions. Allegedly, Prukner engaged in outside business activities without providing prior written notice to his firm, and failed to fully disclose details of those activities, violating FINRA Rules 3270 and 2010. Specifically, the outside business involved co-owning and operating a company that sold e-commerce storefronts and lead-generation websites, where clients paid upfront fees and earned a share of revenue generated online. Therefore, Prukner was suspended for 24 months from associating with any FINRA member in any capacity and fined $10,000.
Did you suffer any investment-related losses because of Ian Prukner? You should contact Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the United States. Also, our securities attorneys work on a contingency fee basis and advance all costs. Prukner and brokerage firms Prukner worked for deny any accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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