Peter James Dale (CRD#5628047) and RAYMOND JAMES FINANCIAL SERVICES, INC.

There is a way to recover investment losses

If you were a client of this investment advisor, the securities lawyers at Halling & Cayo, S.C. would like to hear from you. We are analyzing potential claims related to the suitability of investments recommended by this broker.

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

Claim(s) Made Against Peter James Dale:

Claim Date: 3/9/2026

“Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.”

This claim, as of this posting, is currently Pending with a claim amount of $1,700,000.00 .

See more information on FINRA’s BrokerCheck site for Peter James Dale.

Did you have a negative experience with Peter James Dale?

If you had a negative experience or issue with Peter James Dale and RAYMOND JAMES FINANCIAL SERVICES, INC. from MEMPHIS, TN, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Peter James Dale, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)

Recovery can often depend on finding a lawyer that “specializes in securities complaints” as the SEC reminds investors. (See more information in our video, How to file a complaint against a Financial Advisor.) If you are a former customer of Peter James Dale and RAYMOND JAMES FINANCIAL SERVICES, INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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