Matthew Earl Peregoy, of Brick, New Jersey, a stockbroker formerly registered with Investors Capital Corp., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA in the course of an investigation into Peregoy’s alleged mishandling of funds. Letter of Acceptance, Waiver and Consent, No. 2017054026701 (Jan. 16, 2018).
According to the AWC, FINRA notified Peregoy that it sought Peregoy’s documentation and information relating to his possible misuse of funds and failure to make required disclosures about a civil judgment. Apparently, Peregoy responded to FINRA on December 18, 2017, acknowledging that FINRA’s request had been received. Yet, Peregoy stated to FINRA that he would not be providing the regulator with the information and documentation that was requested of him. FINRA found Peregoy’s failure to cooperate to be violative of FINRA Rules 2010 and 8210.
FINRA Public Disclosure confirms that on November 18, 2004, a customer initiated investment related written complaint in reference to Peregoy’s conduct was settled for $20,201.86 in damages supported by allegations that while Peregoy was associated with The Investment Center, Inc., he was designated as a custodian on the customer’s variable annuity account without the customer’s knowledge or consent.
Peregoy’s employment with Investors Capital Corp. was terminated on July 23, 2016.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
