Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
The oldest dispute on the report, docket 19-02371, arrived on August 22, 2019 and settled on January 5, 2021 for $115,000. The claimant alleged that Peter Maller invested her life savings in an unsuitable and deceptive manner. The claim pointed to concentration of her assets in annuities and illiquid, non-publicly traded investments.
In a statement on BrokerCheck, Maller wrote that he vehemently disagreed with the client's assertions. He said he diversified and rebalanced the accounts every year and that the client "was never at a loss at any time" with his practice.
A claim filed on February 23, 2023, docket 23-00001, settled on October 6, 2023. BrokerCheck lists alleged damages of $100,000 and a settlement amount of $110,912. The claimants alleged an unsuitable oil and gas recommendation by the representative. BrokerCheck reports for Anna Marie Stotka, Lawrence Charles Dibartolomeo and Paul John Meaney list the same case number. So do the reports for Christopher Carl Cavallaro, Brian C Kennedy and William Cole Smith.
In a statement on BrokerCheck, Peter Maller identified the investment as Atlas Growth Partners, one partnership he said the client held among several other investments. He wrote that the oil markets "unexpectedly imploded after the investment" and did not recover for several years.
A claim filed on May 10, 2023, docket 23-01277, also settled on October 6, 2023. The alleged damages were $270,000, and the settlement amount was $311,928. According to the disclosure, the claimants alleged the advisor recommended an unsuitable oil and gas investment. Maller's statement says the filing covers three clients included in the same arbitration. BrokerCheck reports for Christopher Carl Cavallaro, Andrew Scott Horowitz, Frank Pierre Gusmano, Dylan Vincent Shepherd and Kenneth Cecil Sledge list the same case number.
Docket 24-00486 covers the March 5, 2024 claim, which settled on August 15, 2024. In a statement on BrokerCheck, Peter Maller wrote that the matter was "not an indictment of me but rather Lincoln" for making the product available. He added that the investment was illiquid and that all clients knew this.
Oil and gas partnerships raise money from investors to drill wells or buy producing properties. The investor becomes a limited partner and receives a share of whatever the wells produce. The interests usually do not trade on any exchange, so an investor who wants out often cannot sell. Returns depend on commodity prices, which the sponsor does not control. In our experience, a suitability claim over a partnership like this turns on how much of the customer's money went into it and what the paperwork said about liquidity. The 2023 disputes naming Peter Maller involved an investment of this type, according to his own statement.
Every FINRA member firm must supervise its brokers. Investors with questions about an account Peter Maller handled can call Soreide Law Group at (888) 760-6552. You can also reach us online. Our attorneys represent investors in FINRA arbitration nationwide. We take these cases on a contingency fee basis. You can read more about how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 19, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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