Tag Archives: Bolton Global Capital

Investors File Arbitration Claim Against Bolton Global For Fraud

August 26, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Investors File Arbitration Claim Against Bolton Global For Fraud

Paul Wescoe Smith of Wayne Pennsylvania a stockbroker formerly registered with Bolton Global Capital is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $85,000.00 in damages founded on accusations of the customer’s assets being misappropriated in regard to a fraudulent enterprise known as Haverford Group. Financial Industry […]

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Bolton Stockbroker Barred By SEC For Fraud

November 01, 2019  |   Posted by :   |   Hedge Funds, Investment and Regulatory News, Misappropriation of Funds, Securities Fraud, Stockbroker Theft   |   Comments Off on Bolton Stockbroker Barred By SEC For Fraud

Paul Wescoe Smith of Wayne Pennsylvania a stockbroker formerly employed by Bolton Global Capital has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisories according to an Order Instituting Administrative Proceedings containing findings of Smith committing securities fraud. In […]

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Bolton Global Broker Admits to Unauthorized Trading

January 29, 2019  |   Posted by :   |   Failure To Supervise, Forgery, Investment and Regulatory News, Securities Arbitration Claims   |   Comments Off on Bolton Global Broker Admits to Unauthorized Trading

Bruce Anthony Zaro of Plymouth Massachusetts a stockbroker formerly employed by Bolton Global Capital has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Zaro signed customers’ names on account documentation without authorization to effect transactions in […]

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Bolton Global Terminates Broker Over Unauthentic Forms

June 30, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on Bolton Global Terminates Broker Over Unauthentic Forms

Bruce Anthony Zaro of Plymouth Massachusetts a stockbroker formerly employed by Bolton Global Capital has been terminated on January 30, 2018 founded on allegations that Zaro furnished customer account documents to the firm that the customer’s beneficiaries apparently never signed. FINRA Public Disclosure additionally reveals that on May 24, 2000, a customer initiated investment related […]

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SEC Charges Bolton Global Stockbroker With Fraud

December 23, 2017  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes, Selling Away and Outside Activities   |   Comments Off on SEC Charges Bolton Global Stockbroker With Fraud

Paul Wescoe Smith, of Wayne, Pennsylvania, a stockbroker formerly registered with Bolton Global Capital and investment advisor for The Haverford Group, has been charged by Securities and Exchange Commission (SEC) in a Complaint alleging that engaged in investment advisory fraud and executed a fraudulent securities offering spanning a quarter century. Securities and Exchange Commission v. […]

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Bolton Global Capital Sued By Customer For Fraud

December 15, 2017  |   Posted by :   |   Ponzi Schemes   |   Comments Off on Bolton Global Capital Sued By Customer For Fraud

Paul Wescoe Smith, of Wayne, Pennsylvania, a stockbroker formerly registered with Bolton Global Capital, is the subject of a customer initiated investment related arbitration claim on July 5, 2017, in which the customer requested $25,000.00 in damages based upon allegations that from January of 2016 to February of 2017, the customer maintained an investment in […]

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Bolton Global Capital Stockbroker Barred In Investigation

June 13, 2017  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes, Securities Arbitration Claims   |   Comments Off on Bolton Global Capital Stockbroker Barred In Investigation

Paul Wescoe Smith, of Wayne, Pennsylvania, a stockbroker formerly registered with Bolton Global Capital, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that he sold away from his firm. Letter of Acceptance, Waiver and […]

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Wayne Pennsylvania Broker Suspected In Ponzi Scheme

April 20, 2017  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes, Selling Away and Outside Activities   |   Comments Off on Wayne Pennsylvania Broker Suspected In Ponzi Scheme

The Guiliano Law Group is investigating claims on behalf of investors involving Paul Wescoe Smith formerly associated with Bolton Global Capital in Wayne, Pennsylvania in connection with the sale of the unregistered securities of the Haverford Group. On February 2, 2016, according to FINRA Public Disclosure Records, Smith was discharged or terminated by Bolton Global […]

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Bolton Global Capital fined for Failure to Deliver Prospectuses to ETF Investors

August 17, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   Comments Off on Bolton Global Capital fined for Failure to Deliver Prospectuses to ETF Investors

Bolton Global Capital, Inc., a FINRA member since 1984 headquartered in Bolton, MA, conducts general securities business, including mutual funds, bonds, stocks, options, and variable annuities, via 115 of the Firm’s registered representatives within 53 of the Firm’s branch offices. The Firm was censured and fined $35,000 in connection with allegations the Firm had failed […]

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