Investors potentially incurred losses because of securities broker Peter Chi-Bun Chow (also known as Peter Chi Bun Chow) [CRD: 6125403, Arcadia, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peter Chow has been registered with Cetera Investment Services LLC and Cetera Investment Advisers LLC since November 19, 2024. Previously, he was registered with Citigroup Global Markets Inc. from September 18, 2023, to November 27, 2024, and with Cetera Investment Services LLC from August 15, 2018, to September 15, 2023. Investors are encouraged to continue reading to discover more about a client dispute disclosure involving Chow.
Notably, a client filed a complaint about Peter Chow. Primarily, the client alleged that Chow made investment recommendations that were not appropriate for the client’s circumstances. For this reason, the client allegedly sustained damages involving structured products. Therefore, on October 14, 2025, Cetera Investment Services LLC settled this matter by paying the client $117,000.
Structured products are investments whose returns are often tied to the performance of market indexes, stocks, interest rates, or other financial benchmarks. Unsuitable trading or recommendations involving structured products can occur when a financial professional recommends these investments without adequately considering a client’s objectives, risk tolerance, investment experience, liquidity needs, or financial situation. Because structured products can be complex and may involve significant risks, investors should understand how they work before investing.
Do you have concerns or questions regarding investments you made with Peter Chow? If so, reach out to Soreide Law Group online or at (888) 760-6552. Speak to a securities attorney regarding 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. Chow and brokerage firms Chow 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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