Peyton Nelson Jackson, of New York, New York, has been subject of an investigation conducted by Financial Industry Regulatory Authority (FINRA), in which FINRA has determined that Jackson be disciplined for failing to provide information and documentation to FINRA staff in reference to allegations of his alleged wrongdoing and failing to appear before FINRA staff to provide recorded testimony. Wells Notice Examination No. 20160492529 (Feb. 28, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on May 24, 2016, a customer filed an investment related arbitration claim involving Jackson’s conduct, in which the customer requested $90,000.00 in damages based upon allegations that Jackson churned the customer’s account, induced the customer’s transactions based upon misrepresentations and omissions, and made unsuitable investment recommendations concerning over-the-counter equities.
Further, on October 17, 2016, a customer filed an investment related arbitration claim regarding Jackson’s activities, in which the customer requested $580,179.51 in damages based upon allegations including misrepresentation, breach of fiduciary duty, breach of contract, and fraud in reference to promissory note and over-the-counter equity transactions effected in the customer’s account.
Guiliano Law Group
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