Last Updated: September 2023 (Sherman Oaks, CA )
Peter G. Cappos Investigation Summary
Here’s what you need to know about Sherman Oaks, CA , stockbroker Peter G. Cappos:
- Name: Mr. Peter George Cappos
- Current Employer: Hilltop Securities Inc.
- Previous Firms: Sosuthwest Securities, M.L. Stern & Co.
- Function: Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: Sherman Oaks, CA
- CRD 2445714
- Can Peter George Cappos be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $50,894
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Peter G. Cappos As Your Stockbroker?
In 5/2022 a customer of Hilltop Securities was paid $50,894 to resolve allegations that Peter George Cappos handled their account poorly.
Allegations of Broker Misconduct Against Peter G. Cappos
A customer of Peter George Cappos alleged the following wrongdoing in connection with the handling of customer accounts:
- Poor Account Performance
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 George Cappos, 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.
