Peter Holler (Peter David Holler) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Investment Fraud Lawyers are currently investigating possible claims against stockbroker Peter Holler.
In May 2018 Peter Holler was suspended by FINRA for two years from practicing as a broker. Peter Holler worked for Securities Service Network in Bristol, Tennessee from 2001 to 2017.
FINRA alleges that Peter Holler engaged in the following misconduct: he engaged in a series of private securities transactions without providing notice to his member firm prior to participating in these private securities transactions, nor did he obtain approval from the firm.
The findings indicate that Holler sold approximately $1.39 million worth of promissory notes to investors for a purported real estate investment fund. Nine of the investors were clients of Securities Service Network.
In two pending customer disputes, investors allege that Holler sold them them investments in an alleged fraudulent unregistered security called Woodbridge Mortgage Investment Fund.
Peter Holler has been the subject of at least 2 customer disputes.
If you invested money through Peter Holler, we would like to talk to you. Fishman Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.
