Public records published by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that New York-based Oppenheimer & Company broker/adviser Peter Wagner has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wagner (CRD# 1003080).
Peter Wagner has spent 35 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include UBS Financial Services in New York, New York (2002-2013) and CIBC World Markets in New York, New York (1981-2002). He is a registered broker and investment adviser with sixteen US states and territories: California, Connecticut, the District of Columbia, Florida, Maryland, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Tennessee, Texas, Virginia, and Wisconsin.
According to his BrokerCheck report, Peter Wagner has received one customer complaint and was discharged from UBS Financial Services.
In 2013 Peter Wagner was terminated from his position at UBS Financial Services following allegations, among others, that he opened certain client accounts in violation of management instructions.
In 2011 a customer alleged Peter Wagner, while employed at UBS Financial Services, misrepresented and recommended an unsuitable investment in a Lehman Brothers structured product. The complaint settled for $15,000.
If you or someone you know has lost money investing with Peter Wagner, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.