Last Updated: September 2023 (Boca Raton, FL)
Peter Ruggiere Investigation Summary
Here’s what you need to know about Boca Raton, FL, stockbroker Peter Ruggiere:
- Name: Mr. Peter George Ruggiere
- Current Employer: Dawson James Securities
- Previous Firms: Capital Growth Financial (expelled by FINRA 7/2008), Newbridge Securities, Joseph Charles & Assoc.
- Function: Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: Boca Raton, FL
- CRD 2248318
- Can Peter Ruggiere be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement: $10,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Peter Ruggiere As Your Stockbroker?
Peter Ruggiere discloses 2 pending and 3 prior customer disputes.
The two pending cases are brought by customers of Newbridge Securities. One case seeks $98,785 and alleges unsuitable investments and improper use of margin. The other case seeks $75,000 and alleges churning.
IN 6/2020 a customer of Dawson James Securities was paid $10,000 to resolve allegations that Peter Ruggiere made unsuitable recommendations and misrepresented investments.
Allegations of Broker Misconduct Against Peter Ruggiere
Customers of Peter Ruggiere have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Churning
- Misrepresentations
- Improper use of margin
- Unauthorized trading
- Margin violations
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Rex Securities Law Investment Fraud Attorney Investigates Dawson James Securities
If you have suffered investment losses in an account handled by Peter Ruggiere, contact us for a complimentary consultation with an experience 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.
