Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California-based Sagepoint Financial broker/adviser Peter Shusterman has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shusterman (CRD# 1460819).
Peter Shusterman has spent 32 years in the securities industry and has been registered with Sagepoint Financial in San Diego, California since 2005. Previous registrations include Sentra Securities Corporation in Phoenix, Arizona (1999-2005); Linsco/Private Ledger Corporation in Boston, Massachusetts (1986-1999); and First Investors Corporation (1986). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 8, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 21, 1987; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 3, 1986; and Series 24 (General Securities Principal Examination), which he obtained on September 11, 1987. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Florida, Georgia, Hawaii, Indiana, Iowa, Louisiana, Massachusetts, Minnesota, Mississippi, Nevada, New Jersey, New Mexico, New York, Ohio, Oklahoma, Oregon, South Carolina, Texas, Vermont, Virginia, and Washington.
According to his BrokerCheck report, he has received two customer complaints and one denied customer complaint.
In May 2018 a customer alleged Peter Shusterman, while employed at Sagepoint Financial, executed an unauthorized transaction. The customer sought unspecified damages in the complaint, which was denied.
In 2014 a customer alleged Peter Shusterman, while employed at Sagepoint Financial, recommended unsuitable investments, misrepresented material facts, and breached his fiduciary duty. The complaint settled for $260,000.
In 2009 a customer alleged Peter Shusterman, while employed at Independent Financial Group, breached his fiduciary duty, committed fraud, negligently misrepresented material facts, and committed elder abuse. The complaint resulted in an award to the customer of $488,260.
If you or someone you know has a complaint regarding Peter Shusterman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.