10.0David P Neuman
(720) 599-3505

INVESTOR WARNING! Peter Kohli of Pottstown, Pennsylvania Sued by SEC for Securities Fraud

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04
Oct

INVESTOR WARNING! Peter Kohli of Pottstown, Pennsylvania Sued by SEC for Securities Fraud

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INVESTOR WARNING!  Peter Kohli of Pottstown, Pennsylvania Sued by SEC for Securities Fraud

Peter Kohli Sued by SEC for Securities Fraud

 

Have you lost money with financial advisor Peter Kohli of Pottstown, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Peter R. Kohli.  The SEC filed a complaint against Peter Kohli in the Eastern District of Pennsylvania in Philadelphia, alleging securities fraud.

 

The SEC alleged that Peter Kohli launched a mutual fund called the DMS Funds in 2012.  It was alleged that Kohli made material misrepresentations when recommending that investors put money in the DMS Funds.  It was also alleged that Kohli represented that DMS would invest in Marshad Capital Group, an entity which Kohli also controlled.  It was further alleged that Kohli misappropriated or stole investor funds.

 

Peter Kohli was a financial advisor and registered representative of Trustmont Financial Group from July 2010 to May 2015.  He worked at branch offices in Leesport, Pennsylvania.  Kohli also ran companies called DMS Advisors and DMS Financial.

 

Brokerage firms like Trustmont Financial Group have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm that represents investors in FINRA arbitration proceedings in all 50 states, including numerous investors in Pennsylvania in the past. We currently represent numerous victims of another Ponzi scheme run by Pennsylvania financial advisor Doug Simanski.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

 

Click to view:  Kohli, Peter SEC Complaint

Click to view:  Kohli, Peter BrokerCheck

 

HAVE YOU LOST MONEY WITH PETER KOHLI OR TRUSTMONT FINANCIAL GROUP?

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


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