Paul Michael Mallory, of Livonia, Michigan, a stockbroker registered with Concorde Investment Services, is the subject of a customer initiated investment arbitration claim, where the customer has sought damages based upon accusations that Mallory failed to supervise floating rate note transactions effected in the customer’s account from 2014 to 2016. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02312 (Sept. 13, 2017).
FINRA Public Disclosure reveals that Mallory has been identified in three additional customer initiated investment related disputes pertaining to allegations of his wrongdoing during the time that he was associated with Westminster Financial Services, Inc. and Concorde Investment Services, LLC. Specifically, three customer investment related arbitration claims concerning Mallory’s conduct were filed between August 11, 2017 and August 23, 2017, which alleged the failure to supervise transactions effected in customers’ individual retirement accounts from 2014 to 2016. FINRA Arbitration Nos. 17-02035 (Aug. 11, 2017); 17-01850 (Aug. 11, 2017); and 17-02079 (Aug. 23, 2017).
Mallory has been registered with Concorde Investment Services, LLC since January 16, 2014.
Guiliano Law Group
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