Cupertino, California financial advisor Peter Po (CRD# 3106974) has received multiple investor complaints alleging that his conduct resulted in six-figure...
Read MorePeter Po: $150K Fraud Complaint Against Emerson, Ex-NI Advisor
Cupertino, California financial advisor Peter Po (CRD# 3106974) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, having previously been registered with NI Advisors.
Mr. Po’s BrokerCheck report discloses more than 20 investor complaints. The most recent, filed in May 2025, alleges that as a representative of NI Advisors, he breached contract, failed in his supervisory duties, committed fraud, breached his fiduciary duty, and violated Regulation Best Interest in connection with recommendations of corporate bond investments. The pending complaint alleges damages of $150,000.
An earlier investor complaint, also filed in May 2025, similarly alleged that as a representative of NI Advisors, he acted negligently in connection with the recommendation of corporate bonds whose issuer subsequently declared bankruptcy. The pending complaint alleges damages of $200,000.
A third investor complaint, filed in 2024, alleges that as an NI Advisors representative, he breached his fiduciary duty, acted negligently, failed in his supervisory duties, violated Regulation Best Interest, and breached contract. The pending complaint alleges damages of $10,000.
A fourth investor complaint, filed in 2024, alleges that he acted negligently, breached his fiduciary duty, violated Regulation Best Interest, and breached contract in connection with the recommendation of corporate bonds. The pending complaint alleges damages of $400,000.
A fifth investor complaint, filed in 2024, alleged that he recommended investments in corporate bonds whose issuer declared bankruptcy. The pending complaint alleges damages of $250,000.
According to the Financial Industry Regulatory Authority, Peter Po holds 26 years of securities industry experience. Based in Cupertino, California, he has been registered as a broker and an investment advisor with Emerson Equity since May 2024. His past registrations include NI Advisors, Voya Financial Advisors, MetLife Securities, Mony Securities, Merrill Lynch, Citicorp Investment Services, and Dean Witter Reynolds. His credentials include the passage of five securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the General Securities Representative Examination, or Series 7. He is licensed in California, Nevada, New Mexico, Texas, and Washington. (Information current as of June 19, 2025.)
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