Close Menu
Free Consultation: 305-965-1373

Matthew Peregoy: Investors Capital Advisor Barred

Matthew Peregoy, formerly a financial advisor with Investors Capital Corp in Brick, New Jersey, has been barred by the Financial Industry Regulatory Authority (FINRA). FINRA is the regulator that oversees the financial industry.

According to FINRA, it began an investigation into the “potential misuse of funds and failure to disclose a civil judgment.” FINRA alleges that it sent him a letter to provide information pursuant to FINRA’s investigation, and Peregoy refused to comply with FINRA’s request. This is a violation of FINRA Rules 8210 and 2010.

Peregoy agreed to the bar by signing a Letter of Acceptance, Waiver, and Consent with FINRA, on December 18, 2017. FINRA accepted the settlement and signed it on January 16, 2018.

If a financial advisor has placed you in unsuitable investments, or misused your funds, please call us at (305) 965-1373 for a free consultation.

Facebook Twitter LinkedIn Google Plus
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Nicolas Barrios – UBS Advisor Barred by Regulators & Fired by UBS

    Nicolas Barrios, former Winter Haven, Florida UBS branch manager and financial advisor has been barred by the Financial Industry Regulatory...

    Read More
  • Gary Pevey: Financial Advisor Suspended For 12 Months Relating to Woodbridge Notes

    Today the Financial Industry Regulatory Authority released a Letter of Acceptance, Waiver and Consent, suspending Sacramento-based financial advisor Gary Pevey...

    Read More
  • Paul Wishingrad: Beverly Hills UBS Financial Advisor Suspended

    Paul Wishingrad, a Beverly Hills-based financial advisor for UBS Financial Services, has been suspended for 15 days and fined $5,000...

    Read More
  • Joe Varghese: Prudential Financial Advisor Barred By Regulators

    Joe Varghese, a former Prudential financial advisor in Howard Beach, New York, has been barred for life by the Financial...

    Read More
  • Previous
  • Next