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Peter Kaboth Terminated by Raymond James

Peter Kaboth (CRD #: 6610624) has been fired by Raymond James. This disclosure appears on his BrokerCheck record, accessed on April 10, 2024. Keep reading for more details regarding his alleged conduct. 

Employment Separation After Allegations 

Raymond James & Associates fired Peter Kaboth following allegations that he engaged in conduct inconsistent with firm policies on outside employment. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow firm policies may violate this rule. 

FINRA Rule 3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

Peter Kaboth has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

During his seven years of experience, he has exclusively registered with Raymond James Financial Services (CRD #: 705). 

Kurta Law Can Help 

If you have worked with Peter Kaboth 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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