Daniel Edward Peltier, of Edina, Minnesota, a stockbroker formerly registered with RBC Capital Markets, LLC, has been named in a customer initiated investment related written complaint, which settled on May 12, 2016, in which the customer received $45,033.63 in damages based upon allegations that he engaged in sales practice violations with respect to an over-the-counter equity transaction effected in the customer’s investment account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Peltier has been identified in two additional customer initiated investment related disputes containing allegations of his misconduct while employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated, wherein customers’ claims were based upon allegations that Peltier effected unsuitable and excessive equities transactions.
Peltier’s registration with RBC Capital Markets, LLC was terminated on September 18, 2015. Since April 26, 2017, he has been associated with IFS Securities.
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