Customer Alleged Peter Dochinez Failed To Supervise a Registered Representative

Peter DochinezPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 26, 2017 indicate that former Pennsylvania-based Trustmont Financial Group broker/adviser Peter Dochinez has received customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dochinez (CRD# 1062112).

Peter Dochinez has spent 32 years in the securities industry and was most recently registered with Trustmont Financial Group in Greensburg, Pennsylvania (2016-2017). Previous registrations include Trustmont Financial Group in Greensburg, Pennsylvania (1986-2014); Eastman Banks & Dolan (1985-1986); Mutual Service Corporation (1984-1985); and Pruco Securities Corporation (1982-1985). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 10, 1982; Series 7 (General Securities Representative Examination), which he obtained on December 15, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 13, 1982; Series 27 (Financial and Operations Principal Examination), which he obtained on March 20, 2001; Series 53 (Municipal Securities Principal Examination), which he obtained on September 23, 1987; and Series 24 (General Securities Principal Examination), which he obtained on September 2, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Peter Dochinez has received two customer complaints and one FINRA sanction.

In 2017 a customer alleged Peter Dochinez, while employed at Trustmont Financial Group, failed to supervise a registered representative. The complaint settled for $375,000.

In 2011 FINRA sanctioned him that his member firm, acting through him as its president, chief executive officer and principal, failed to establish, maintain and enforce supervisory policies and procedures reasonably designed to achieve compliance with applicable securities laws, and additionally failed to conduct independent tests of its anti-money laundering compliance program in 2007 and 2008. He was censured and issued a fine of $10,000.

In 2004 a customer alleged Peter Dochinez, while employed at Trustmark Financial Group, acted negligently, made unsuitable investment recommendations, breached contract, and violated state securities law. The complaint settled for $27,000.

If you or someone you know has complaints regarding Peter Dochinez, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.