FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
PETER VINCENT IANACE (PETER V IANACE) CRD#: 3238078 was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm, according to FINRA’s BrokerCheck, on September 3, 2020. Ianance was previously registered both as a broker and as an investment advisor. According to FINRA, the former Merrill Lynch, Frisco, Texas, and Wells Fargo, Plano, Texas, broker failed to cooperate with FINRA’s investigation.
Without admitting or denying FINRA’s findings, PETER VINCENT IANACE consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into his potential failure to disclose outside business activities to his member firm. FINRA’s findings stated that although Ianace initially cooperated with FINRA's investigation, he stopped doing so.
PETER VINCENT IANACE, according to FINRA’s BrokerCheck, available to the public on FINRA’s website, was in the securities industry for 20 years. He has 4 Disclosures on his CRD report. Of the 4 Disclosures, 3 are Customer Disputes.
A dispute against Ianance settled in October of 2003 for $60,000 following the allegations, “ALLEGES NEGLIGENCE/GROSS NEGLIGENCE/BREACH OF INDUSTRY STANDARDS; BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY AND OTHER CLAIMS.”
Another claim was filed against PETER VINCENT IANACE in April of 2006 and was closed with no action following the allegations, “ALLEGES SUITABILITY AND FAILURE TO DISCLOSE FACTS. DAMAGES ARE NOT SPECIFIED, BUT ARE BELIEVED NOT TO EXCEED $5,000. DATES OF ACTIVITY: PURCHASED 9/10/02.
In August of 2020, a dispute, still pending, was filed against Ianace and alleges, “CLAIMANTS ALLEGE THAT THEIR FINANCIAL ADVISORS MADE UNSUITABLE RECOMMENDATIONS AND NEGLECTED TO REDUCE THE OVER-CONCENTRATED AND OVER-LEVERAGED NATURE OF THEIR ACCOUNTS.”
PETER VINCENT IANACE was listed with 6 firms, the most recent are listed below:
12/10/2019 - 06/08/2020 WELLS FARGO CLEARING SERVICES, LLC - PLANO, TX
10/21/2011 - 12/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INC - FRISCO, TX
06/01/2009 - 10/26/2011 MORGAN STANLEY SMITH BARNEY - PLANO, TX
If you’ve experienced losses due to the actions or recommendations of the former broker, PETER VINCENT IANACE, formerly with Merrill Lynch and Wells Fargo in Texas, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee and represents our clients nationwide before FINRA.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
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