Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
A corporate bond is a loan from investors to a company. The company promises interest and the return of principal at maturity. High-yield bonds come from issuers with lower credit ratings, so they pay more and carry more default risk.
When an issuer declares bankruptcy, bondholders usually wait on the court process to learn what they will recover. Some cases end in a wind-down trust that sells assets and pays creditors over time. Disputes on Peter Po's report describe an issuer that declared bankruptcy and is executing a wind-down trust.
When we review a bond claim like this, we start with the issuer's credit rating at purchase and how much of the account it took.
Peter Po's earliest dispute came on August 22, 2024, under docket 24-01809. The claim cited breach of contract, negligence and supervision for a purchase of bonds in August 2020. It sought $50,000 and settled on December 4, 2024 for $15,000.
Next, a customer filed on October 8, 2024 (docket 24-02113). Its statement of claim listed breach of contract, breach of fiduciary duty, failure to supervise, negligence and gross negligence. The customer also cited a violation of Best Interest. Alleged damages were $10,000, and the case settled on November 26, 2025 for $28,500.
On November 15, 2024, a client filed docket 24-02159, which names NI Advisors as the firm. That statement of claim cited breach of contract, fiduciary duty and Best Interest theories over corporate bonds purchased during 2019-2020. It sought $400,000. The claim settled on May 28, 2026 for $90,000.
A customer filed the next claim on February 25, 2025, and its disclosure names California Securities as the firm. The claim, docket 25-0036016, listed unsuitability, misrepresentations and omissions, and failure to act in best interest. It sought $50,000 and settled on May 13, 2025 for $10,000.
Peter Po's report then shows docket 25-00964, filed May 15, 2025 and naming NI Advisors. The disclosure states that the "Client purchased $200,000 of corporate bonds in 2021." The issuer later declared bankruptcy. That claim sought $200,000 and settled on June 12, 2026 for $50,000.
The last claim came on May 21, 2025, under docket 25-00943. It concerned corporate bonds originally bought in 2017 and renewed in 2020. Its theories included breach of contract, failure to supervise, negligence and a Best Interest violation. According to the disclosure, the issuer declared bankruptcy and is in the process of executing a wind-down trust. The claim sought $150,000 and settled on June 28, 2026 for $40,000.
Every FINRA member firm must supervise its brokers. Investors with questions about an account Peter Po handled can call Soreide Law Group at (888) 760-6552. You can also reach us online. Our attorneys represent investors in FINRA arbitration nationwide. We take these cases on a contingency fee basis. You can read more about how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 24, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
Realized Financial customer claims over real estate investments name Jacob Adams (CRD 4975889) in pending FINRA arbitrations. The claims are unproven allegations, and no arbitrator has ruled on them. Adams responded to each in a statement on BrokerCheck.
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