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Jason Pepe Fired from Truist Investment Services for Alleged Firm Policy Violations

Jason Pepe (CRD #: 4551115), a broker registered with Stifel, Nicolaus & Company, was fired from his previous firm, according to his BrokerCheck record, accessed on May 11, 2023. If you want to know more about his alleged conduct as a broker, read on.

Termination from Truist Investment Services

On March 7, 2023, Jason Pepe was fired from Truist Investment Services following allegations that he violated firm policy and procedures concerning wire transfer authentication.

FINRA Rule 2010

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

Background Information

Jason Pepe has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 57TO – Securities Trader Exam
  • Series 52TO – Municipal Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 55 – Limited Representative-Equity Trader Exam
  • Series 7 – General Securities Representative Examination
  • Series 53 – Municipal Securities Principal Examination
  • Series 24 – General Securities Principal Examination

Jason Pepe is a registered broker in 23 states and the District of Columbia. He is also a registered investment adviser in Pennsylvania and Texas.

He has also worked for the following firms:

  • Truist Advisory Services (CRD#:283390)
  • Truist Investment Services (CRD#:17499)
  • BB&T Securities (CRD#:142785)
  • Valley Forge Asset Management (CRD#:7438)
  • Waddell & Reed (CRD#:866)

Kurta Law Can Help

If you worked with Jason Pepe 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 and 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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