Peter T Po (CRD #3106974) Has Customer Dispute and Employment Separation Disclosures on FINRA BrokerCheck

Peter T Po (CRD #3106974) is a broker with disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 29, 2026. It reflects 30 customer disputes and one termination disclosure. If you invested with Peter Po and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Peter Po’s FINRA BrokerCheck Report reflects 30 customer dispute disclosures. Eight are pending and 22 are final. Two examples are summarized below. The report lists 28 additional customer dispute disclosures.

On March 26, 2026, a customer alleged breach of contract, fraud, and breach of fiduciary duty. The claim also alleged negligence and misrepresentation or omission. Peter Po FINRA BrokerCheck lists the product as a real estate security. The matter is pending in FINRA arbitration. Peter Po FINRA BrokerCheck lists docket number 26-00637. The claimant seeks between $100,000 and $500,000.

On March 6, 2026, customers alleged violations of securities statutes and breach of fiduciary duty. They also alleged common law claims, vicarious liability, and a Regulation Best Interest violation. Peter Po FINRA BrokerCheck lists the product as a real estate security. The arbitration remains pending. Peter Po FINRA BrokerCheck lists docket number 26-00514. The claimants seek between $100,000 and $500,000.

Employment Separation After Allegations

Peter Po’s FINRA BrokerCheck Report reflects one employment separation disclosure. A summary of the disclosure is below:

On August 4, 2015, Voya Financial Advisors, Inc. discharged Peter Po. Peter Po FINRA BrokerCheck says the firm reported several policy violations. The firm cited inaccurate customer assets tied to a product transaction. It also cited an unapproved email address. The firm also cited unapproved outside business activity and radio show discussions. Peter Po FINRA BrokerCheck includes his denial of the allegations.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. A broker should match the recommendation to the customer’s profile. That profile includes risk tolerance, liquidity needs, and investment goals.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor)

FINRA Rule 2010 requires fair and ethical business conduct. It may apply when a dispute raises concerns about misrepresentation, omissions, or other sales practice issues.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Peter Po:

Is currently registered with Emerson Equity LLC.

Has passed the Securities Industry Essentials (SIE) exam. Peter Po has passed Series 7 and Series 31. He has also passed Series 65 and Series 63.

Was previously registered with firms that include Ni Advisors and Voya Financial Advisors, Inc. Other prior firms include MetLife Securities Inc., MONY Securities Corporation, Merrill Lynch, Citicorp Investment Services, and Dean Witter Reynolds Inc.

Kurta Law Can Help

If you have worked with Peter Po and have concerns, Kurta Law may help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | Investment Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. An attorney can review the facts. They can also explain possible next steps.