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Cesar Peralta Allegedly Failed to Follow Instructions

Cesar Peralta (CRD #: 2960311), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on September 20, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 26, 2024, an investor alleged Cesar Peralta failed to follow instructions. The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow instructions may violate this rule. 

Background Information 

Cesar Peralta has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 33 states and is a registered investment adviser in Texas. 

During his seven years of experience, Cesar Peralta has registered with two firms: Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) and Lehman Brothers (CRD #: 7506). 

Kurta Law Can Help 

If you worked with Cesar Peralta and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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