Investor Alleges Jeffrey Peters Violated Securities Laws
Jeffrey Peters (CRD #: 2580603), a broker registered with Ausdal Financial Partners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on June 21, 2023. If you want to know more about his alleged conduct as a broker, keep reading.
Investor Dispute
On April 24, 2023, an investor alleged that Jeffrey Peters breached his contract, violated securities laws, and facilitated unsuitable investments. The client seeks $65,000 in damages in this pending dispute.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
FINRA Rule 2111
FINRA Rule 2111 requires that brokers tailor their investment recommendations to an investor’s profile, which describes characteristics such as their risk tolerance, age, and tax status.
Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.
Background Information
Jeffrey Peters has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 31 – Futures Managed Funds Examination
- Series 7 – General Securities Representative Examination
- Series 52 – Municipal Securities Representative Examination
Jeffrey Peters is a registered broker in nine states and a registered investment adviser in Florida.
He has also worked for the following firms:
- Alpine Asset Management (CRD#:116970)
- Next Financial Group (CRD#:46214)
- Coordinated Capital Securities (CRD#:14762)
- Successful Resource Management (CRD#:110317)
- Cambridge Investment Research (CRD#:39543)
- FFP Securities (CRD#:16337)
- Princor Financial Services (CRD#:1137)
- Berthel, Fisher & Company Financial Services (CRD#:13609)
- Fortis Investors (CRD#:421)
- U.S. Bancorp Investments (CRD#:17868)
- Dean Witter Reynolds (CRD#:7556)
- Olde Discount Corporation (CRD#:5979)
Kurta Law Can Help
If you worked with Jeffrey Peters 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.