Guy Peled (CRD #6547636) Has an Employment Separation Disclosure on FINRA BrokerCheck

Guy Peled (CRD #6547636) was previously registered as a broker and has an employment separation disclosure on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 15, 2026. It reflects one employment separation disclosure. If you worked with Guy Peled and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Guy Peled’s FINRA BrokerCheck Report reflects one employment separation disclosure. A summary of that disclosure is below:

According to Guy Peled’s FINRA BrokerCheck Report, Fidelity Brokerage Services LLC discharged him on February 6, 2026. The stated allegation concerned his failure to disclose involvement in a non-investment-related business activity. BrokerCheck lists the product type as “No Product.”

Rule Summary #1: FINRA Rule 3270 (Outside Business Activities of Registered Persons)

FINRA Rule 3270 requires registered persons to give prior written notice before engaging in outside business activity. A disclosure about an undisclosed outside activity can raise questions about whether that notice was given.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. Firms and regulators often cite it when conduct raises broader compliance or integrity concerns.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

1.    Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

2.    Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

3.    Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

4.    Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Guy Peled:

Is not currently registered.

Has passed the Securities Industry Essentials (SIE) exam. Guy Peled has also passed Series 7, Series 24, and Series 52TO.

Was previously registered with firms that include Digital Brokerage Services LLC, Fidelity Brokerage Services LLC, and National Financial Services LLC.

Kurta Law Can Help

If you have worked with Guy Peled and have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful Resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.