| Read Time: 2 minutes | News & Articles |


Peter Po Of NI Advisors Has 14 Customer Complaints For Alleged Broker Misconduct

Who is Peter Po of NI Advisors?

Peter Po

Peter Po (CRD #3106974) who is currently registered as a broker and investment adviser with NI Advisors and located in Cupertino, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to NI Advisors, Peter Po was associated with 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 Po Customer Complaints

Peter Po has been the subject of 14 customer complaints that we know about seeking to recover investment losses. Four of the customer complaints were settled by Peter Po’s employers in favor of the investors. Two of the customer complaints were denied his employer’s or withdrawn by the investors. There are currently 8 FINRA arbitration proceedings that are pending against Ni Advisors for Peter Po’s alleged misconduct.

Allegations Against Peter Po

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

  • Unsuitable recommendation of GWG L bonds.
  • Breach of contract and violation of securities laws related to corporate debt transactions.
  • Misrepresentation of GWG L bonds.
  • Breach of fiduciary duty, suitability, negligence, regarding investments in GWG L bonds.
  • Violation of regulation best interest in connection with GWG L bonds transactions.
  • Breach of fiduciary duty and misrepresentation related to GWG L bonds.
  • Violation of securities laws related to GWG L bonds.
  • Failure to disclose availability of secondary market for REIT transactions.
  • Violations of California securities laws, common law fraud, breach of fiduciary duty and negligence related to GWG L bonds.
  • Unauthorized trading.
  • Unsuitable investment strategy involving unsuitable, high-risk, illiquid alternative investments.
  • Misrepresentations and misleading statements related to the risk of alternative investments.

Peter Po Red Flags & Your Rights As An Investor

Of course, Peter Po 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 Po at NI Advisors on alert to review carefully the activity and performance of their accounts and question whether Peter Po has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NI Advisors also raises questions about the brokerage firm’s 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 NI Advisors Due To Peter Po

If you have questions about NI Advisors and/or Peter Po 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