Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Tim Paul Peyton [CRD: 1773817, Gretna, Louisiana], given the disclosures on FINRA BrokerCheck. Evidently, Tim Peyton worked for Salomon Smith Barney from April 1994 to April 2001.
Particularly, a Crown Capital Securities LP client filed FINRA Arbitration: 21-03063 about Tim Peyton. Supposedly, Peyton failed to conduct proper due diligence and made unsuitable recommendations of two alternative investment products, including non-traded real estate investment trusts. The client further alleged overconcentration and the failure to disclose the risk factors of the investments. Because of this, the investor apparently incurred damages. As a result, on January 18, 2024, Crown Capital Securities LP settled this matter by paying the client $245,000 in damages.
Additionally, a client of Salomon Smith Barney contested Tim Peyton's sales practices, according to a complaint dated July 9, 2002. Allegedly, Peyton made unsuitable transactions, engaged in unauthorized trading, and failed to follow instructions with respect to the investments purchased in the client's account. It appears that Peyton allegedly caused the client to sustain damages on mutual funds, stocks, and over-the-counter equities. Therefore, the client sought compensatory relief from Salomon Smith Barney or Peyton in the amount of $48,000 in this matter. However, the firm denied the complaint.
Specifically, on December 12, 2001, a Salomon Smith Barney client filed a complaint about Tim Peyton. Notably, the claim alleged unauthorized use of margin, unauthorized trading, misrepresentations, and unsuitable recommendations. Because of this, the client allegedly sustained damages on stocks and over-the-counter equities. For this reason, the client requested compensation from Salomon Smith Barney or Peyton. However, the securities firm denied the complaint.
Also, a client filed a complaint about Tim Peyton. Supposedly, Peyton engaged in churning. Because of this, the investor apparently experienced damages on stocks, over-the-counter equities, and mutual funds. Therefore, on June 3, 2002, Salomon Smith Barney settled this matter by paying the client $17,000 in damages.
Did you experience losses because of Tim Peyton? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer about a possible 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. Peyton and brokerage firms Peyton worked for deny accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
Phone:
Fax: 1-954-760-6553
Email: [email protected]