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Peter Chow Allegedly Recommended Unsuitable Investments

Peter Chow (CRD #: 6125403), a broker registered with Cetera Investment Services, allegedly made unsuitable investment recommendations, according to his BrokerCheck record, accessed on May 6, 2025. Investors may have also engaged his services through Cetera Investment Advisers. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On March 5, 2025, an investor alleged that Peter Chow gave unsuitable investment recommendations. This dispute is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consult the investor’s profile, which contains information about their age, tax status, investing experience, and risk tolerance.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Peter Chow has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Combined State Law Examination – Series 66
  • Uniform Securities Agent State Law Examination – Series 63

Peter Chow is a registered broker in nine states and a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • Citigroup Global Markets (CRD#:7059)
  • Cetera Investment Advisers (CRD#:105644)
  • Cetera Investment Services (CRD#:15340)
  • U.S. Bancorp Investments (CRD#:17868)
  • Edward Jones (CRD#:250)
  • J.P. Morgan Securities (CRD#:79)

Kurta Law Can Help

If you worked with Peter Chow 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 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. 

 

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