Soreide Law Group is currently conducting an investigation on behalf of investors who have sustained financial losses involving registered broker and financial advisor, Peter John Clarke [CRD#: 1400419, Palm Beach Gardens, Florida]. Clarke works for Rockefeller Financial LLC and Rockefeller Capital Management since November 12, 2021. His previous associations include Truist Advisory Services Inc., and Truist Investment Services Inc. in Palm Beach, FL, as well as BB&T Securities LLC in Richmond, VA. Clarke has been the subject of client disputes alleging unsuitable investment recommendations and other sales practice violations, which have led to client losses.
Notably, a client of Truist Investment Services Inc. filed FINRA Arbitration: 23-01936 on July 11, 2023. Supposedly, Clarke recommended investments that were too risky. It appears that Clarke caused the client to sustain damages on common and preferred stocks. Therefore, the client seeks compensatory relief from Truist Investment Services Inc. or Clarke in the amount of $6,300,000 in this ongoing matter.
Also, a Wheat First Securities Inc. client filed NASD Arbitration: 97-04889 about Peter Clarke. Evidently, the client alleged that Clarke engaged in a breach of fiduciary duty, made misrepresentations, and recommended unsuitable investments. Because of this, the client allegedly sustained damages totaling $55,000.
Did you experience losses because of Peter Clarke? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Clarke and the brokerage firms he worked for deny accusations of sales practice violations.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
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