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Peter Cappos Subject of Investor Dispute

Sep 2, 2022 Investor Disputes

Peter Cappos (CRD #: 2445714), a broker registered with Hilltop Securities, was involved in a recent dispute, according to his BrokerCheck record, accessed on August 7, 2022. If you have questions about Peter Cappos’s conduct as a broker, keep reading.

Investor Dispute

On May 19, 2022, an investor named Peter Cappos in a dispute involving the alleged poor performance of the client’s accounts. This dispute was settled for $50,894.92.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Peter Cappos has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 53 – Municipal Securities Principal Examination
  • Series 24 – General Securities Principal Examination

Peter Cappos is a registered broker in 49 states and the District of Columbia. He is also a registered investment adviser in California and Colorado.

He has also worked for M.L. Stern & Company (CRD#:8327).

Kurta Law Can Help

If you worked with Peter Cappos and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.