According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Peter Neary was accused of effecting approximately 130-140 discretionary transactions without written authorization in the account of one of his customers. For this he was fined $5,000 and suspended for 20 business days. Allegedly, from July 2012 through December 2014, Neary effected these transactions. This is against securities rules and regulations. According to his online FINRA BrokerCheck report, Neary was registered with John Hancock, Liberty Securities Corp, Independence One Brokerage Services, Comerica Securities, Ferris Baker Watts, RBC Capital Markets Corp and Wunderlich Securities in Plymouth, Michigan from October 2010 until February 2015. He is currently registered with IFS Securities in Livonia, Michigan and has been since Feburary 2015. He has one customer dispute against him. Please call our Chicago-based securities law firm today to speak to an attorney about your options of bringing legal action against Peter Neary and Wunderlich Securities. The firm may be responsible for losses on a contingency fee basis in the FINRA arbitration forum.
Let Us Get Your