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State of Missouri Takes Regulatory Action Against Joshua Peters

Joshua Peters (CRD #: 3070720), a formerly registered broker with UBS Securities, was penalized by the State of Missouri, according to his BrokerCheck record, accessed on June 29, 2022. Read on if you have questions about Joshua Peters’s conduct as a broker.

Regulatory Action by State of Missouri

On February 4, 2022, the State of Missouri alleged that Joshua Peters allegedly transacted business as an unregistered investment adviser and through an unregistered individual and failed to maintain at least one registered investment adviser in Missouri.

He allegedly violated Sections 409.4-403(a) and 409.4-403(d) of the Revised Statutes of Missouri, and 15 CSR 30-51.010(2) of the Missouri Code of State Regulations through these actions.

Joshua Peters was penalized $15,000 and prohibited from practicing as an investment adviser in the State of Missouri.

Sections 409.4-403(a) and 409.4-403(d), and 15 CSR 30-51.010(2)

Sections 409.4-403(a) and 409.4-403(d) of the Revised Statutes of Missouri ban unregistered persons from acting as investment advisers and ban investment advisers from employing or associating with unregistered individuals, respectively.

15 CSR 30-51.010(2) of the Missouri Code of State Regulations requires broker-dealers and investment advisers to have at least one registered agent in the state.

Background Information

Joshua Peters has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7 – General Securities Representative Examination

He previously worked for UBS Securities (CRD#:7654).

Kurta Law Can Help

If you worked with Joshua 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. 

 

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