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Investor Alleges Peter Evans Engaged in Theft

Peter Evans (CRD #: 1516196), a broker registered with LPL Financial, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on May 31, 2023. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On March 16, 2023, an investor alleged that Peter Evans engaged in theft of funds from the client’s beneficiaries. This dispute was denied by the firm.

However, investors should know that firms don’t need to allow an external review before denying a dispute. Investors may be able to recoup their losses by seeking out FINRA arbitration after a denial.

FINRA Rule 2150

FINRA Rule 2150 prohibits brokers from misusing investors’ funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Peter Evans 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

Peter Evans is a registered broker in ten states and a registered investment adviser in California.

He has also worked for Securian Financial Services (CRD#:15296).

Kurta Law Can Help

If you worked with Peter Evans 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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