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John Pigeon: $120K Complaint Against Osaic Advisor

Fall River, Massachusetts financial advisor John Pigeon (CRD# 2354079) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Institutions.

Mr. Pigeon’s BrokerCheck report discloses one investor complaint. Filed in June 2024, it alleges that as a representative of Infinex Investments, he “failed to observe high standards of commercial honor and just and equitable principles of trade.” The pending complaint alleges damages of $120,000.

Investors should be aware that under FINRA Rule 2010, brokers like Mr. Pigeon are required to “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, such as the failure to follow a customer’s instructions, may constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” Brokers who violate Rule 2010 may be held liable in the event of account losses.

According to the Financial Industry Regulatory Authority, John Pigeon holds 28 years of securities industry experience. Based in Fall River and Somerset, Massachusetts, he has been registered with Osaic Institutions since 2007. His past registrations include Linsco/Private Ledger Corp (Randolph, Massachusetts; 2006-2007), Banc of America Investment Services (East Freetown, Massachusetts; 2004-2006), Quick & Reilly (Bedford, Massachusetts and New York, New York; 2000-2004), FIS Securities (Boston, Massachusetts; 1996-2000), and NYLife Securities (New York, New York; 1995-1997). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE: the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Florida, Massachusetts, and Rhode Island. (Information current as of June 16, 2024.)

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.

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