Peter Tinchu Po of Cupertino California a stockbroker formerly employed by Voya Financial Advisors Inc. has been discharged by the firm on August 4, 2015 founded on allegations that Po violated the firm’s policies by (1) engaging in undisclosed outside business activities and (2) discussing investments with the investor public without the firm’s permission.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on April 5, 2001, a customer initiated investment related complaint involving Po’s conduct was settled for $11,081.89 in damages supported by accusations that while Po was associated with Citicorp Investment Services, mutual fund purchases had been effected in the customer’s individual retirement account despite the customer never having provided authorization.
On January 22, 2018, another customer filed an investment related complaint concerning Po’s activities in which the customer requested $100,000.00 in damages based upon allegations that while Po was associated with Voya Financial Advisors, Inc., he made misrepresentations to the customer regarding real estate security products by claiming that the investment was safe and would generate 6.8 percent annual dividends.
Po has been registered with Ni Advisors since August 19, 2015.
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