Investors have come forward with complaints about securities broker Joseph Lawrence Peggs (also known as Larry Peggs) [CRD: 1219721, Seminole, Florida]. Evidently, the securities broker, who worked for Ameriprise Financial Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Peggs, see below. Estate Accuses Joseph Peggs […]

In an InvestmentNews.com article, Darla Mercado writes that two registered representatives with Planmember Securities Corp. could lose their securities licenses in Texas and face fines of $100,000 each for the improper sale of life settlement notes. The brokers, Jimmy Wayne Freeman Jr. and Kris Bradford Rhoden, were due to appear at the State Office of Administrative […]