Matthew Earl Peregoy of Brick New Jersey a stockbroker formerly employed by Investors Capital Corp. has been assessed a $39,000.00 civil monetary penalty by New Jersey Securities Bureau according to a Consent Order containing findings that (1) Peregoy engaged in unethical and dishonest practices in the securities business (2) Peregoy is the subject of an […]
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Tag Archives: Matthew Earl Peregoy
Regulator Sanctions Investors Capital Corp Stockbroker
January 09, 2020 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
FINRA Bars Investors Capital Broker For Obstruction
January 26, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft | 0 Comments
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. […]
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