Peter Ruggiere is a Florida based securities broker. He has worked in the securities industry for twenty-six years. During his career, he has been registered with five different securities firms.
His registrations include; Josephthal Lyon & Ross Incorporated (1982-1994), Joseph Charles & Associates (1994-2000), Newbridge Securities Corporation (2000-2007), Capital Growth Financial (2007-2008), and Dawson James Securities (2008-Present).
Peter Ruggiere’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In Septemeber 1994, a customer alleged unsuitability, churning, unauthorized trading, misrepresentation, margin violations, and breach of fiduciary duty. This case went to arbitration where the customer was awarded $6,403 in damages.
In February 2003, a customer alleged churning. This case is currently pending. The customer is seeking $75,000 in damages.
In May 2005, a customer alleged unsuitability, poor performance, and unauthorized use of margin. This case is currently pending. The customer is seeking approximately $100,000 in damages.
In November 2017, a customer alleged misrepresentation. This allegedly took place between May 2016 and November 2017. This case is currently pending. The customer is seeking $34,869 in damages.
In July 2018, a customer alleged unsuitable transaction recommendations, misrepresentations, and excessive trading. The alleged transgressions took place between April 2013 and April 2018. This case is currently pending. The customer is seeking $80,013 in 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 Peter Ruggiere, please contact Oakes & Fosher for a free and private consultation.