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Evan Peterson Convicted of Infraction Charge

Evan Peterson (CRD #: 7964630), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of two criminal charges, according to his BrokerCheck record, accessed on June 1, 2025. If you want to know more, keep reading.

Criminal Charge

On October 31, 2022, two criminal charges were entered against Evan Peterson. He was convicted of an infraction charge and the other charge was dismissed.

FINRA Rule 2010

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

Background Information

Evan Peterson has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Uniform Combined State Law Examination – Series 66

Evan Peterson is a registered broker in 46 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in New Jersey and Texas.

Kurta Law Can Help

If you worked with Evan Peterson 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. 

 

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