Investor Alleges Peter Bryan Recommended an Unsuitable Energy Investment
Peter Bryan (CRD #: 1006417), a broker registered with Lincoln Financial Securities, allegedly made an unsuitable investment recommendation, according to his BrokerCheck record, accessed on July 14, 2022. Read on if you have questions about his conduct as a broker.
On April 29, 2022, an investor alleged that Peter Bryan recommended an unsuitable oil and gas investment. This dispute remains pending.
FINRA Rule 2111
FINRA Rule 2111 defines suitable investments as securities that adequately fit an investor’s financial goals. Brokers must take into account the information in an investor’s profile, including the following characteristics:
- Financial goals
- Risk tolerance
- Time horizon (i.e., how long the investment will be held)
- Investing experience
- Tax status
Investors who rely on brokers for investment recommendations can potentially recover their losses by pursuing FINRA arbitration.
Peter Bryan has passed the following exams:
- 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
- Series 22 – Direct Participation Programs Representative Examination
Peter Bryan is a registered broker in California and Texas. He is also a registered investment adviser in Texas.
He has also worked for the following firms:
- Sun Investment Services Company (CRD#:5496)
- Green Hill Financial Service Corporation (CRD#:4882)
- Transamerica Financial Resources (CRD#:3600)
- Transamerica Securities Sales Corporation (CRD#:17970)
- Mutual Benefit Financial Service Company (CRD#:4882)
Kurta Law Can Help
If you worked with Peter Bryan and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.