The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Steven Kiyoto Hirata [CRD #: 1188927, Fresno, CA]. Hirata worked for PFS Investments Inc. from 2010-2021 and PFS Investments Inc. from 1984-2009. Notably, FINRA barred the securities broker. Read on to learn more about the allegations against him.
Evidently, on May 31, 2022, FINRA issued Acceptance, Waiver, and Consent (AWC) #: 2021072592201. This AWC shows that FINRA barred the stockbroker from having any association with FINRA-member firms. Supposedly, Hirata failed to cooperate with FINRA's investigation.
Specifically, FINRA says that on September 17, 2021, Steven Hirata's former employer, PFS Investments Inc., filed a Form U5. PFS identified in this Form U5 that it discharged Hirata because he allegedly engaged in an undisclosed private securities transaction.
FINRA began an investigation into Hirata as a result of the allegations contained in the Form U5. On March 29, 2022, FINRA sent a request to Hirata for the production of documents and information. On May 11, 2022, Hirata indicated to FINRA staff that he had received their request. However, he stated that he would not produce the requested information and documents. As a result, Hirata violated FINRA Rules 2010 and 8210.
Have you experienced damages through any sales practice violations by Steven Hirata? If the answer is yes, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities lawyer regarding a possible recovery of your investment damages. Soreide Law Group, who has successfully recovered money for investors throughout all 50 states, represents clients on a contingency fee basis and advances all costs. Hirata and brokerage firms Hirata associated with deny any and all allegations of sales practice violations.
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