Investors apparently complained about securities broker John James Pescatore [CRD: 2183696, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Pescatore worked for Oppenheimer Co. Inc. from January 9, 2006, to October 31, 2025, and later registered with Ameriprise Financial Services LLC beginning October 27, 2025, as a broker and October 29, 2025, as an investment adviser. Investors should keep reading to learn more about disclosures involving this individual.
A breach of fiduciary duty generally means that a broker/advisor fails to act in the best interests of a client. Brokers and advisors are expected to place a client’s interests ahead of their own, provide full and fair disclosure, and act with loyalty and care when handling accounts or giving advice. When these duties are not met, investors may claim they were harmed as a result.
Particularly, an Oppenheimer Co. Inc. client filed FINRA Arbitration No. 25-01702 concerning John Pescatore. The client alleged that Pescatore breached his fiduciary duty, breached a contract, was negligent, violated FINRA rules, and that the firm negligently supervised certain representatives. The allegations relate to claims that the firm improperly permitted an unauthorized change of beneficiary following the death of a client during the period from January 2020 through December 2020. For this reason, the client allegedly incurred damages of approximately $200,000. The arbitration was filed on August 16, 2025, received on August 18, 2025, and remains pending.
Do you have concerns or questions regarding investments you made with John Pescatore? You can get in touch with Soreide Law Group online or at (888) 760-6552. Consult with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Pescatore and brokerage firms he worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker John James Pescatore [CRD: 2183696, Boca Raton, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Pescatore worked for Oppenheimer Co. Inc. from January 9, 2006, to October 31, 2025, and later registered with Ameriprise Financial Services LLC beginning October 27, 2025, as a broker and […]
Investors potentially incurred losses because of securities broker Peter Hill (also known as Pete Hill) [CRD: 2432123, Des Moines, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Voya Financial Advisors Inc. from January 1, 2004, to May 11, 2020, and later registered with Cambridge Investment Research Inc. […]
Investors potentially experienced sales practice violations by securities broker Nathan Goad (also known as Nate Goad) [CRD: 5421740, Wayne, Pennsylvania], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Goad worked for J. Alden Associates Inc. beginning January 7, 2022, and has also been registered as an investment adviser with Alden Investment Group […]
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