A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz...Read More
Matthew Peregoy: Investors Capital Advisor Barred
Matthew Peregoy, formerly a financial advisor with Investors Capital Corp in Brick, New Jersey, has been barred by the Financial Industry Regulatory Authority (FINRA). FINRA is the regulator that oversees the financial industry.
According to FINRA, it began an investigation into the “potential misuse of funds and failure to disclose a civil judgment.” FINRA alleges that it sent him a letter to provide information pursuant to FINRA’s investigation, and Peregoy refused to comply with FINRA’s request. This is a violation of FINRA Rules 8210 and 2010.
Peregoy agreed to the bar by signing a Letter of Acceptance, Waiver, and Consent with FINRA, on December 18, 2017. FINRA accepted the settlement and signed it on January 16, 2018.
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