PETER JOHN LUDWIG is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 8120 PENN AVE S STE 245, BLOOMINGTON, MN, 55431.
PETER JOHN LUDWIG has worked at SECURITIES AMERICA, INC. since November 14, 2014
Disclosure History
PETER JOHN LUDWIG has 3 Disclosure Event(s).
Date: June 04, 2012 Category: Customer Dispute Allegations: THE STATEMENT OF CLAIM ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FAILURE TO DO DUE DILIGENCE, MISREPRESENTATION, BREACH OF WRITTEN AND ORAL CONTRACT, MATERIAL OMISSIONS AND MISREPRESENTATION, FRAUD BASED ON CONCEALMENT, FAILURE TO SUPERVISE AND NEGLIGENT SUPERVISION, AND VIOLATIONS OF FEDERAL STATUTES, FINRA RULES AND MINNESOTA STATE LAWS IN CONNECTION WITH THE PURCHASE OF A TENANT-IN-COMMON INTEREST IN MARCH 2006. Damage Amount Requested: $2,228,099.00 Settlement Amount: $825,000.00 12-01694
Date: December 27, 2010 Category: Customer Dispute Allegations: THE CUSTOMER CLAIMS THAT THEY WERE TOLD THAT THEY COULD REMOVE THE INVESTED FUNDS WITHIN THREE MONTHS OF THE INVESTMENT BEING MADE IN JUNE 2008. THE FUND CLOSED ALL WITHDRAWALS AT SOME POINT SHORTLY THEREAFTER AND THE CUSTOMER COULD NOT CLOSE THEIR ACCOUNT. Damage Amount Requested: $50,000.00 Settlement Amount: $25,000.00 11-04323
Date: September 22, 2010 Category: Customer Dispute Allegations: ARBITRATION ALLEGES BREACH OF FIDUCIARY DUTY, MISREPRESENTATIONS AND OMISSIONS, NEGLIGENCE, VIOLATION OF MN SECURITIES LAWS, AND BREACH OF CONTRACT. THE ALLEGATIONS RESULT FROM A TIC 1031 EXCHANGE REAL ESTATE INVESTMENT MADE IN MAY 2006. Damage Amount Requested: $1,326,000.00 Settlement Amount: $225,000.00 10-04050
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