Tag Archives: Peter Rajinder Kohli

Investors Sue Trustmont For Failure To Supervise

July 20, 2020  |   Posted by :   |   Failure To Supervise, Promissory Notes   |   Comments Off on Investors Sue Trustmont For Failure To Supervise

Peter Rajinder Kohli of Leesport Pennsylvania a stockbroker formerly registered with Trustmont Financial Group is the subject of a customer initiated investment related arbitration claim in which the customer requested $373,023.00 in damages based upon allegations that Trustmont failed to supervise Kohli’s securities transactions in the customer’s account which resulted in losses. Financial Industry Regulatory […]

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SEC Bars Trustmont Financial Kohli For Fraud

April 27, 2018  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes   |   0 Comments

Peter Rajinder Kohli of Pottstown Pennsylvania a stockbroker formerly registered with Trustmont Financial Group Inc. and chief executive officer of both DMS Advisors Inc. and DMS Funds has been barred by the Securities and Exchange commission in all capacities according to an Order Instituting Administrative Proceedings Pursuant to Securities Exchange Act of 1934 Section 15(b)(6) […]

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DMS Funds Stockbroker Charged With Fraud

March 08, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Peter Rajinder Kohli, of Pottstown, Pennsylvania, chief executive officer and present of DMS Advisors and chairman and trustee of DMS Funds, has been charged along with DMS Advisors, Inc., Marshad Capital Group, Inc., and The DMS Funds in a Complaint by the Securities and Exchange Commission (SEC) alleging that Kohli and the firms committed fraud […]

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