Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Duncan Peters (Duncan Peters), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan Peters recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 13, 2021.
Arbitration: Claimant alleges that in 2016, the FA recommended an unsuitable securities-backed line of credit (“SBLOC”). \, \, Complaint: Attorney for client alleged the financial advisor recommended an unsuitable securities-backed line of credit which resulted in losses, costs and financing charges. (1/7/2016-12/1/2020)