The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Larry Peggs. According to his publicly available FINRA BrokerCheck report, Larry Peggs has been the subject of multiple customer disputes over the course of his career.

Larry Peggs is presently working as a Florida based securities broker. He has worked in the securities industry for thirty-four years. During his career, he was registered with eleven different securities firms.

His Registrations

  • Lincoln Financial Advisors Corporation (1984)
  • Integrated Resources Equity Corporation (1984-1989)
  • Ekistic Securities Corporation (1986)
  • Fortis Investors, Inc. (1989-1998)
  • FFP Securities (1998-2001)
  • NFP Securities (2001-2002)
  • Jefferson Pilot Securities Corporation (2003)
  • Woodbury Financial Services (2003-2009)
  • AXA Advisors (2009-2013)
  • Planmember Securities Corporation (2013-2015)
  • Ameriprise Financial Services (2015-Present)

The Allegations

  • In May 2017, a customer alleged that Larry Peggs executed unauthorized transactions. This case was settled for $38,221 in damages.
  • In February 2019, a customer alleged that Larry Peggs placed them in an unsuitable holding. This case was settled for $15,000 in damages.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to  securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Larry Peggs, please contact Oakes & Fosher for a free and private consultation.