Close Menu
Free Consultation: 888-976-6111

Moloney Securities Advisor Peter Ferraro: Bond Complaint

Manchester, Missouri financial advisor Peter Ferraro (CRD# 2386025) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities and that he has been sanctioned by securities regulators.

Mr. Ferraro’s BrokerCheck report discloses one investor complaint. Filed in May 2022, it alleges that as a representative of Moloney Securities, he made unsuitable recommendations and acted negligently in connection with investments in corporate bonds. The pending complaint alleges damages of $75,000. In a comment on the disclosure, Mr. Ferraro wrote: “I refute the allegations of the claims.”

A second disclosure on Mr. Ferraro’s BrokerCheck report concerns his 2016 sanction by the Florida Office of Financial Regulation. According to the disclosure, he was ordered to pay a civil or administrative penalty or fine of $7,5000 in connection with unspecified allegations.

According to the Financial Industry Regulatory Authority, Peter Ferraro holds 28 years of securities industry experience. Based in Manchester, Missouri, he has been a broker with Moloney Securities since 2007 and an investment advisor with Moloney Securities Asset Management since 2016. His past registrations include Westrock Advisors (Manchester, Missouri; 2007), Wunderlich Securities (Clayton, Missouri; 2001-2007), J. Michael-Patrick LLC (Clayton, Missouri; 1998-2001), Pauli Johnson Capital & Research (St. Louis, Missouri; 1997-1998), Pauli & Company (St. Louis, Missouri; 1994-1997), American Express Financial Advisors (Minneapolis, Minnesota; 1993-1994), and IDS Life Insurance Company (Minneapolis, Minnesota; 1993-1994). His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; 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, Illinois, Maryland, Missouri, North Carolina, South Carolina, and Texas. (Information current as of October 1, 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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Suzanne Powell: Meridian Advisor’s Clients Are GWG Creditors

    At least 22 current or former customers of Meridian Wealth Management advisor Suzanne Powell (CRD# 4752270) are listed as creditors...

    Read More
  • John Nole: Paulson Advisor’s Clients Listed as GWG Creditors

    Records filed with a US bankruptcy court disclose that at least six current or former customers of Paulson Investment Company...

    Read More
  • Oppenheimer Advisor Guy Presutti Faces $1.45mm Fraud Complaint

    Boston financial advisor Guy Presutti (CRD# 1196621) recently received an investor complaint alleging fraud, breach of fiduciary duty, unsuitable investment...

    Read More
  • Jason Walsh: $3.7 Million Complaint Against Ex-Network 1 Advisor

    Hauppauge, New York financial advisor Jason Walsh (CRD# 5758243) is involved in an investor complaint alleging damages of more than...

    Read More
  • Previous
  • Next