Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Maxwell Douglas Peckler (also known as Max Peckler) [CRD: 2391251, Boston, Massachusetts]. Peckler worked for UBS Financial Services Inc. from June 20, 2003, to December 9, 2021. He also worked for First Republic Securities Company LLC from November 12, 2021, to September 29, 2023. Between 2022-2024, he joined J.P. Morgan Securities LLC and J.P. Morgan Private Wealth Advisors LLC, both in Boston, Massachusetts. Peckler has been involved in client disputes, raising concerns over his conduct at these firms. Keep reading to learn more about the disclosures regarding Maxwell Peckler.
On April 12, 2021, a client of UBS Financial Services made a complaint accusing Maxwell Peckler of sales practice violations. The client alleged that Peckler failed to tell them important information relating to an annuity and TOD account. The client asked for damages; however, the complaint was denied by UBS Financial Services.
On November 7, 2011, a client made a complaint accusing Peckler of recommending unsuitable stock investments while he worked for UBS Financial Services. The complaint was ultimately denied by the firm, with no compensation awarded.
On October 6, 2010, a FINRA arbitration claim involving Peckler’s conduct at UBS Financial Services resulted in a settlement of $425,000. The client accused Peckler of making unsuitable recommendations and misrepresenting information related to structured products.
Another claim filed on April 13, 2011, led to a settlement of $77,500 based on allegations that Peckler misrepresented structured products.
Also, on August 11, 2011, a claim involving Peckler settled for $240,000. The client alleged misrepresentation in the sale of structured products issued by Lehman Brothers.
A client of Salomon Smith Barney made a complaint requesting $5,000 in damages, accusing Peckler of unsuitable recommendations regarding federal home loan bonds. Salomon Smith Barney denied the complaint, and no compensation was awarded.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Peckler and the brokerage firms he worked for deny allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
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Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]
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