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Pruco Denies Complaint Against Lancaster Advisor Evan Perets
A recent investor complaint against Pruco Securities financial advisor Evan Perets (CRD# 5778033) alleged his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Lancaster, Pennsylvania.
Mr. Perets’ BrokerCheck report discloses one investor complaint. Filed in May 2022, it alleged that as a representative of Pruco Securities, he failed to follow the customer’s instructions. The complaint alleged damages of $300,000 and was denied by the firm.
FINRA Rule 2010 stipulates FINRA-associated persons must “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, like the failure to follow a customer’s directions, may be considered violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” FINRA Rule 2111, similarly, states that brokers must “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.” More information on these rules is available via FINRA.
According to the Financial Industry Regulatory Authority, Evan Perets holds 12 years of securities industry experience. Based in Lancaster, Pennsylvania, he has been a broker and an investment advisor with Pruco Securities and Prudential Financial Planning Services, respectively, since May 2020. He was previously registered with Prudential Financial Planning Services from 2013 until April 2020, and with Pruco Securities from 2010 until April 2020. His credentials include the passage of six securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, Delaware, Idaho, Maryland, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Tennessee, and Texas. (Information current as of October 18, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.