John Pigeon Allegedly Failed to Observe High Standards of Commercial Honor
John Pigeon (CRD #: 2354079), a broker registered with Osaic Institutions, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 18, 2024. Keep reading if you have questions regarding his alleged conduct as a broker.
Investor Allegations
On June 5, 2024, an investor alleged that John Pigeon and his firm failed to observe high standards of commercial honor and just and equitable principles of trade. The investor is seeking $120,000.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Background Information
John Pigeon has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He is a registered broker and investment adviser in Massachusetts and Rhode Island. He is also a registered broker in Florida.
During his 28 years of experience, he has registered with six firms:
- Osaic Institutions (CRD #: 35371)
- Linsco/Private Ledger Corp. (CRD #: 6413)
- Banc of America Investment Services (CRD #: 16361)
- Quick & Reilly (CRD #: 11217)
- FIS Securities (CRD #: 30533)
- NYLife Securities (CRD #: 5167)
Kurta Law Can Help
If you have worked with John Pigeon and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.