Investors might have sustained losses due to financial advisor Jason Matthew Peroni (also known as Jay Peroni) [CRD: 2754901, Charleston, South Carolina], according to SEC Investment Adviser Public Disclosure. Specifically, Jason Peroni was registered with Faith Investor Services from September 14, 2023, through April 24, 2026. See below to discover more about disclosures involving Jason Peroni.
Evidently, on March 25, 2026, Faith Investor Services discharged Peroni. Mainly, Faith Investor Services alleged that Peroni used a personal email account rather than the firm's approved communication system and did not provide requested information concerning clients and trades. The firm also stated that it was reviewing his communications and disclosures to clients and prospective clients, access to trading platforms, and trading history. According to the disclosure, Peroni did not provide information requested during the firm's internal review.
Additionally, a client of Ameriprise Financial Services Inc. contested Jason Peroni’s sales practices, according to a complaint dated June 23, 2012. Allegedly, Peroni failed to disclose surrender charges associated with a variable annuity. It appears that Peroni allegedly caused the client to experience damages connected to mutual funds and variable annuities. Therefore, the client sought compensation from Ameriprise Financial Services Inc. or Peroni in the amount of $44,000 in this matter. The complaint was denied on August 1, 2012.
Did you experience losses because of Jason Peroni? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak to a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the country. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Peroni and brokerage firms Peroni worked for deny accusations 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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