Peter T Po (CRD #3106974) Has Customer Complaints and a Termination Disclosure on FINRA BrokerCheck
Peter T Po (CRD #3106974) has been the subject of disclosure events listed on the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck report. According to Peter Po’s FINRA BrokerCheck report, he has 28 customer dispute disclosures and 1 termination disclosure as of January 14, 2026.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck report
Employment separation after allegations
According to Peter Po’s FINRA BrokerCheck report, he was discharged from Voya Financial Advisors, Inc. on August 4, 2015. The firm reported allegations that the representative violated several firm policies, including providing inaccurate customer assets in connection with a product transaction, using an unapproved email address, engaging in unapproved outside business activities, and discussing investment products through radio show appearances that were not approved by the firm. The report also includes a broker statement contesting the allegations.
Rule summary #1: FINRA Rule 2111 (Suitability)
FINRA Rule 2111 generally requires that a broker-dealer or associated person have a reasonable basis to believe that a recommended transaction or investment strategy is suitable for the customer, based on information obtained through reasonable diligence regarding the customer’s investment profile.
Rule summary #2: FINRA Rule 2010
FINRA Rule 2010 is a broad conduct standard requiring member firms and their associated persons to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.
Investor disputes / customer complaints
Peter Po’s FINRA BrokerCheck report reflects 28 customer dispute disclosures. Below are two examples; there are 26 additional customer dispute disclosures on the report.
Example 1 (Settled): Peter Po FINRA BrokerCheck report reflects a customer dispute in which the claimant alleged that the representative recommended a Real Estate Investment Trust (REIT) that was unsuitable and that the risks and potential for future income and growth were misrepresented. The matter was filed with FINRA (Docket/Case #24-00196) and reflects a settlement of $18,712.35 with no individual contribution reported.
Example 2 (Pending): Peter Po FINRA BrokerCheck report reflects a pending customer dispute disclosure (Docket/Case #25-02693) in which the reporting firm states that a statement of claim alleges breach of contract, breach of fiduciary duty, and related claims regarding two client households purchasing corporate bonds during 2018–2020. The disclosure states that the issuer subsequently declared bankruptcy and that proceedings are continuing. The disclosure lists alleged damages of $5,000.00, and also notes that no amount was specified and that the two client households reportedly invested a total of $575,000.00. The report also lists related FINRA arbitration information with Docket/Case #25-01388.
Why this matters to investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background information (from BrokerCheck)
Based on his BrokerCheck Report, Peter Po reportedly:
Is currently registered with Emerson Equity LLC.
Is registered with 1 self-regulatory organization and is licensed in 5 U.S. states and territories through his employer.
Has passed the SIE, Series 31, Series 7, and two state securities law exams (Series 63 and Series 65 are listed as state exams in the report).
Was previously registered with firms that include NI Advisors (August 2015 – May 2024) and Voya Financial Advisors, Inc. (October 2007 – August 2015).
Reports an outside business activity through Peter Po Insurance Services involving annuities and life & health insurance.
Kurta Law Can Help
If you have worked with Peter Po and you have concerns about his activity, you may have legal options. Many claims brought in FINRA arbitration involve unsuitable recommendations, material misrepresentations and omissions, negligence, breach of fiduciary duty, and other sales practice issues. If you suffered losses, consider gathering account statements, new account paperwork, risk profile documents, and any written communications to help evaluate the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: Unsuitable Investments | Breach of Fiduciary Duty
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