| Read Time: 2 minutes | Hilltop Securities Complaints | News & Articles |


Peter Nett Of Hilltop Securities Inc. And Formerly With Ameriprise Financial Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Peter Nett of Hilltop Securities Inc.?

Peter Nett

Peter Nett (CRD #4506990) who is currently registered as a broker and investment adviser with Hilltop Securities Inc. and located in The Woodlands, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Hilltop Securities Inc., Peter Nett was associated with Ameriprise Financial Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Peter Nett Customer Complaints

Peter Nett has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration resulted in an arbitration award against  Ameriprise Financial Services. Another customer complaint was settled by American Express Financial Advisors in favor of the investor. The same brokerage firm denied another customer complaint and no further action was taken.

Allegations Against Peter Nett

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to disclose tax implications of an IRA conversion.
  • Estimation of surrender charges were incorrect.
  • Violations of FINRA Rules 2110 and 2111, negligence, misrepresentations and omissions, and breach of fiduciary duty.

Peter Nett Red Flags & Your Rights As An Investor

Of course, Peter Nett did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Peter Nett at Hilltop Securities Inc. and Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Peter Nett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hilltop Securities Inc. and Ameriprise Financial Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Hilltop Securities Inc. Due To Peter Nett

If you have questions about Hilltop Securities Inc., Ameriprise Financial Services, LLC and/or Peter Nett and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars