Last Updated: September 2023 (The Woodlands, Texas)
Peter D. Nett Investigation Summary
Here’s what you need to know about The Woodlands, Texas stockbroker Peter D. Nett:
- Name: Mr. Peter Dieter Nett
- Current Employer: Hilltop Securities Inc.
- Previous Firms: Ameriprise Financial Services, IDS Life Insurance Company
- Function: Stock Broker/ Financial Advisor
- Aliases: Peter D. Nett
- Primary Location: The Woodlands, Texas
- CRD 4506990
- Can Peter D. Nett be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Award: $51,375
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Peter D. Nett As Your Stockbroker?
In 1/2020 a customer of Ameriprise Financial filed a FINRA arbitration alleging the Peter D. Nett violated FINRA Rules 2110 and 2111, made misrepresentations and omissions of material facts, and over concentrated their accounts with annuities and alternative investments. In 11/2021 the FINRA arbitration panel awarded the customer a total of $51,375 which included compensatory damages, attorney fees and costs.
Allegations of Broker Misconduct Against Peter D. Nett
Customers of Peter D. Nett have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Violations of FINRA Rules 2110 and 2111
- Misrepresentations and Omissions of Material Facts
- Over concentrated Accounts in Annuities and Alternative Investments
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Peter D. Nett, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
