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Peter Vogel Terminated by Raymond James

Peter Vogel (CRD #: 2456437) has been fired by Raymond James & Associates. This termination disclosure appears on his BrokerCheck record, accessed on February 12, 2024. For details regarding this termination, keep reading. 

On December 11, 2023, Raymond James & Associates fired Peter Vogel. This followed allegations that he engaged in conduct inconsistent with firm policies applicable to approved messaging platforms. 

Failure to Supervise 3110

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. Supervision extends to messaging with customers. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3110 also violate this rule. 

Background Information 

Peter Vogel has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

He has registered with seven firms in 18 years: 

  • Raymond James & Associates (CRD #: 705) 
  • JNK Securities Corp (CRD #: 34071) 
  • CLSA Americas (CRD #: 165533) 
  • Credit Agricole Securities (CRD #: 190) 
  • HapoAlim Securities (CRD #: 266)
  • Oscar Gruss & Son (CRD #: 2091) 
  • Smith Barney (CRD #: 7059) 

Kurta Law Can Help 

If you have worked with Peter Vogel and you 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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