UPDATE MARCH 2017-Longwood, FL
Public records disclose that on March 8, 2017, in an action filed by the U.S. Commodity Futures Trading Commission in the U.S. District Court for the Southern District of Florida, a consent order was entered against Neil D. Pecker and his company Viseon Financial Planners , who were charged with fraudulent solicitation and misappropriation in connection with off-exchange binary options. Restitution of $2.7 million and a civil monetary penalty of $3..7 million were ordered. Case# 16-cv-60297.
Pecker was permanently barred from the securities industry by FINRA in 12/2016.
ORIGINAL POST-July 2016-Longwood, Florida
The FINRA records of Neil D. Pecker , a stockbroker who was last employed by Coastal Equities , disclose a pending civil event and a prior customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In February 2016 the U.S. Commodity Futures Trading Commission filed a civil action against Pecker and his company Vision Financial Partners, of Deerfield, FL, charging them with fraud in connection with off-exchange binary options and registration violations. Pecker and his company are alleged to have diverted $2 million of client funds to bank accounts for their own use.
Pecker was employed by a number of broker dealers over the recent years, including Coastal Equities, Westpark Capital, Newport Coast Securities and First Midwest Securities.
Investors who suffered losses in an account handled by Neil D. Pecker , may be entitled to recover damages from his former employer through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900