Last Updated: November 2025 — New York, NY
Here’s what you need to know about New York, NY stockbroker Peter N. Girgis:
- Name: Peter N. Girgis
- Current Employer: Barred from acting as a broker by FINRA.
- Prior Firms: SW Financial (12/2019–09/2022), Worden Capital Management (11/2016–12/2019), Legend Securities (08/2013–11/2016), Joseph Gunnar & Co. (06/2012–06/2013), Brookstone Securities (10/2009–06/2012), J.P. Turner & Co. (08/2006–11/2009), GunnAllen Financial (06/2004–08/2006), Joseph Stevens & Co. (07/2002–06/2004).
- Other Business Affiliations: Girgis Consulting (non-investment related; Staten Island, NY; started 1/1/2020).
- CRD number: 4520444.
- Stockbroker / Financial Advisor: Former broker
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Discharged by a Prior Employer: Yes
- Highest Award or Settlement: $13 million
- Current Customer Dispute Seeks Total Damages of: Multiple pending disputes totaling more than $1.7 million
If you’ve sustained damages from Mr. Girgis, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Peter N. Girgis As Your Stockbroker?
- FINRA Arbitration Award (Case No. 22-02586) —on August 23, 2024 the panel awarded customers $10,364,625 in compensatory damages, $3,109,387 in punitive damages, plus costs, against his former member firm for alleged unsuitability/excessive trading and related misconduct tied to Mr. Girgis’s activities at SW Financial.
- FINRA Arbitration Award (Case No. 22-01195) —on August 30, 2023 the panel awarded $1,413,166 in compensatory damages, $975,171 (commissions/fees), $500,000 punitive damages, plus attorneys’ fees and costs, for alleged federal/state securities law violations, fraud, breach of fiduciary duty, and negligence.
- SEC Civil Action (E.D.N.Y. Case No. 1:25-cv-00549) — Filed January 31, 2025 (Brooklyn, NY). The SEC alleges Girgis and others orchestrated a nationwide pre-IPO scheme that raised $70+ million from 550+ investors using unregistered sales agents, high-pressure tactics, and misleading statements; seeks injunctions, penalties, disgorgement, and an officer/director bar. Status: pending.
- FINRA Bar (Rule 9552) — October 7, 2024: Girgis barred in all capacities for failing to respond to FINRA’s information requests following suspension notices dated July 2 and July 26, 2024.
- FINRA AWC (Case No. 2017056432607) — December 1, 2021: findings of excessive and quantitatively unsuitable trading in customer accounts at Legend Securities and Worden Capital; nine-month suspension (1/3/2022–10/2/2022), $7,500 fine, $169,677 restitution.
Allegations of Broker Misconduct Against Peter N. Girgis
- Unsuitability
- Breach of Fiduciary Duty
- Fraud / Misrepresentation
- Unauthorized Trading
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of Other SW Financial Brokers
Investigations of other Worden Capital Management Brokers
If you have suffered investment losses in an account handled by Peter N. Girgis, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.