Close Menu
Free Consultation: 888-976-6111

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.

If a financial advisor has placed you in unsuitable investments, or misused your funds, please call us at 888-976-6111 for a free consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz...

    Read More
  • Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes...

    Read More
  • Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker...

    Read More
  • Judith Johnston: Former NYLife Broker Barred; Variable Annuity Complaints

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Frisco, Texas broker Judith Johnston (CRD# 5532549) barred...

    Read More
  • Previous
  • Next