Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that Florida-based Stifel Nicolaus & Company broker/adviser Peter Nicoletti, who resigned from a former employer in connection to alleged rule violations, has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nicoletti (CRD# 4132229).
Peter Nicoletti has spent 18 years in the securities industry and has been registered with Stifel Nicolaus & Company in Palm Beach, Florida since 2015. Previous registrations include Wells Fargo Advisors in West Palm Beach, Florida (2009-2015); Morgan Stanley & Company in West Palm Beach, Florida (2007-2009); Morgan Stanley DW in West Palm Beach, Florida (2004-2007); and AG Edwards & Sons in St. Louis, Missouri (2000-2004). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 21, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 20, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on September 29, 2005; and Series 7 (General Securities Representative Examination), which he obtained on April 13, 2000. He is a registered broker and investment adviser with 12 US states and territories: California, Connecticut, Florida, Georgia, Maine, Maryland, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, and Virginia. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and two customer complaints that were closed or denied, and he resigned from one of his former employers in connection to alleged rule violations.
In 2015 he voluntarily resigned from his position at Wells Fargo Advisors in connection to allegations regarding his “disclosure and level of participation in outside business activities.”
In 2013 a party of customers alleged Peter Nicoletti, while employed at Wells Fargo Advisors, misrepresented material facts regarding an investment’s risk. The customers sought $100,000 in damages in the complaint, which was closed with no action taken.
In 2008 a customer alleged Peter Nicoletti, while employed at Morgan Stanley & Company, recommended unsuitable annuity products. THe customer sought unspecified damages in the complaint, which was denied.
In 2006 a customer alleged Peter Nicoletti, while employed at Morgan Stanley DW, misrepresented material facts regarding an annuity product. The complaint settled in 2007 for $6,200.
If you have complaints regarding Peter Nicoletti, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on a contingency basis: Fitapelli Kurta only receives payment if and when you recover money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.