UPDATE 4/13/2020: According to FINRA’s March 2020 Disciplinary Actions: “Individual Suspended for Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution Pursuant to FINRA Rule Series 9554.” (FINRA Arbitration Case #19-01579)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Peter Ingraham (a/k/a Pete Ingraham). If you suffered losses investing with Peter Ingraham (a/k/a Pete Ingraham), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Peter Ingraham (a/k/a Pete Ingraham) (CRD# 4379629)
As of April 13, 2020, Peter Ingraham (a/k/a Pete Ingraham)’s FINRA BrokerCheck Report contains the following:
Disclosure Events
2 Customer Dispute(s)
1 Regulatory Event(s)
1 Employment Separation After Allegations
2 Judgment(s)/Lien(s)
Current and Previous Registrations
1/13/2009 – 05/01/2019 MORGAN STANLEY (CRD#:149777) NAPLES, FL
09/01/2006 – 12/02/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) FORT MYERS, FL
05/10/2001 – 09/08/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT MYERS, FL
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Peter Ingraham (a/k/a Pete Ingraham) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
