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Joseph Di Peri is Facing a FINRA Suspension

Joseph Di Peri (CRD #: 5752608) has been suspended by FINRA. This is according to his BrokerCheck record, accessed on March 26, 2024. Keep reading if you have questions concerning his alleged conduct. 

FINRA Allegations 

On December 29, 2023, FINRA suspended Joseph Di Peri following allegations that he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. 

The Arbitration Award alleges Joseph Di Peri breached a promissory note. The Award found him liable for $1,004,070.53. 

You can read a copy of the arbitration award here. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of promissory notes may violate this rule. 

Background Information 

Joseph Di Peri has passed the following exams:

  • Series 66 Uniform Combined State 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 

During his 13 years of experience, he has registered with the following firms: 

  • Morgan Stanley (CRD #: 149777) 
  • J.P. Morgan Securities (CRD #: 79) 
  • Chase Investment Services (CRD #: 25574) 

Kurta Law Can Help 

If you have worked with Joseph Di Peri and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.

 

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