Last Updated: November 2023 (New Albany, IN)
Tim Peoples Investigation Summary
Here’s what you need to know about New Albany, IN, stockbroker Tim Peoples:
- Name: Mr. Timothy Eric Peoples
- Current Employer: Regulus Financial Group., American Equity Investment Corp., American Capital Management (RIA)
- Previous Firms: Vestax Securities Corp., Protective Equity Services, Equity Analysts
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Tim Peoples
- Primary Location: New Albany, Indiana
- CRD 1026456
- Can Tim Peoples be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $8,526
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Tim Peoples As Your Stockbroker?
In 9/2023 a customer of American Equity Investment Corp. was paid $8,526 to resolve allegations that Tim Peoples made an unsuitable recommendation to invest in GWG L-Bonds, a company that has filed for reorganization under Chapter 11 of the the Bankruptcy Code.
Allegations of Broker Misconduct Against Tim Peoples
A customer of Tim Peoples has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in GWG L-Bonds
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
If you have suffered investment losses in an account handled by Tim Peoples, 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.
