{"id":6369,"date":"2018-08-10T14:29:51","date_gmt":"2018-08-10T18:29:51","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6369"},"modified":"2018-08-10T14:29:51","modified_gmt":"2018-08-10T18:29:51","slug":"colorado-investigates-california-based-peter-klaas-for-high-risk-trading-seeking-license-revocation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/colorado-investigates-california-based-peter-klaas-for-high-risk-trading-seeking-license-revocation\/","title":{"rendered":"Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation"},"content":{"rendered":"<p>Peter Gerhard Klaas (CRD #2381681) is a former broker and investment advisor, and was employed at El Segundo, CA-based Cetera Advisor Networks since 05\/2017. Klaas was previously employed with Allegis Investment Services (05\/2014-03\/2017,) Signator Financial Services (04\/2011-06\/2014), and LPL Financial (09-2007-05\/2011.) No current employment information is available.<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft size-medium wp-image-4750\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-300x200.jpg\" alt=\"David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-300x200\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-768x511.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-1024x681.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-1000x665.jpg 1000w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>The Colorado Division of Securities is currently investigating broker Klaas along with broker Heath Bowen (CRD #4824684) for putting advisory clients in high-risk and complex option trades that these clients didn\u2019t understand. CDS is not requesting monetary damages in this pending investigation, but is asking for the revocation of Klaas\u2019 licensure. This investigation began while Klaas was employed with Allegis.<\/p>\n<p>Cetera notified Klaas that he was subject to disqualification stemming from the Consent Cease and Desist Order dated March 12, 2018 filed by the Securities Commissioner of Colorado. On 4\/18\/2018, Klaas resigned from Centera.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/colorado-investigates-california-based-peter-klaas-for-high-risk-trading-seeking-license-revocation\/\"  title=\"Continue Reading Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Peter Gerhard Klaas (CRD #2381681) is a former broker and investment advisor, and was employed at El Segundo, CA-based Cetera Advisor Networks since 05\/2017. Klaas was previously employed with Allegis Investment Services (05\/2014-03\/2017,) Signator Financial Services (04\/2011-06\/2014), and LPL Financial (09-2007-05\/2011.) No current employment information is available. The Colorado Division of Securities is currently investigating [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[595,599,580],"tags":[105,1040,1041,290],"class_list":["post-6369","post","type-post","status-publish","format-standard","hentry","category-investment-fraud","category-securities-arbitration","category-stockbroker-misconduct","tag-cetera-advisor-networks","tag-peter-klaas","tag-scott-silver-cetera-advisor-networks","tag-securities-arbitration"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation &#8212; Securities Arbitration Lawyers Blog &#8212; August 10, 2018<\/title>\n<meta name=\"description\" content=\"Peter Gerhard Klaas (CRD #2381681) is a former broker and investment advisor, and was employed at El Segundo, CA-based Cetera Advisor Networks since &#8212; August 10, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/colorado-investigates-california-based-peter-klaas-for-high-risk-trading-seeking-license-revocation\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation &#8212; Securities Arbitration Lawyers Blog &#8212; August 10, 2018\" \/>\n<meta name=\"twitter:description\" content=\"Peter Gerhard Klaas (CRD #2381681) is a former broker and investment advisor, and was employed at El Segundo, CA-based Cetera Advisor Networks since &#8212; August 10, 2018\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Levy-of-Titus-Rockefeller-LLC-Permanently-Barred-from-Broker-Activity-After-Long-Career-of-Suspicious-Activity.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation &#8212; 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