Investors might have been negatively impacted by securities broker Edward Sanford Pegram IV (also known as Edward Sandford Pegram IV and Sandy Pegram) [CRD: 721375, Wellesley Hills, Massachusetts], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Edward Pegram was registered with RBC Capital Markets LLC from July 22, 2020, to May 1, 2026. He previously worked for Merrill Lynch from December 12, 2013, to July 23, 2020. Investors should continue reading to learn more about a disclosure reported on his FINRA BrokerCheck record.
Evidently, on April 7, 2026, RBC Capital Markets LLC disaffiliated with Sandy Pegram. Mainly, RBC Capital Markets LLC alleged that Pegram did not follow certain firm requirements relating to trade execution, the handling of trading discretion, and internal conduct standards.
Discretionary trading occurs when a client gives a securities broker or financial advisor authority to place trades or make certain investment decisions without obtaining advance approval for each transaction. This authority is typically granted through written authorization and may be limited by specific instructions from the client. Brokerage firms generally maintain policies governing when and how discretion may be exercised. Regulators and firms often review situations involving discretionary authority to determine whether trading activity complied with applicable rules, firm procedures, and client agreements.
Do you need guidance on any investment losses relating to Edward Pegram? You can contact Soreide Law Group at (888) 760-6552 or online. Consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the United States. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Pegram and brokerage firms Pegram worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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