Tag Archives: Paulson Investment Company LLC’

SEC Charges Paulson Stockbroker With Selling Away

September 14, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on SEC Charges Paulson Stockbroker With Selling Away

Minish Joe Hede of New York New York a stockbroker formerly employed by Paulson Investment Company is named in a Complaint brought by Securities Exchange Commission (SEC) who alleges that Hede was selling away from his securities broker dealer employer and had sold promissory notes as an unregistered broker. United States Securities and Exchange Commission […]

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Paulson Investment Company Sued For Fraud

August 27, 2020  |   Posted by :   |   Bond Fraud, Excessive Markups, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Paulson Investment Company Sued For Fraud

John Alexander Tarpinian of New York New York a stockbroker formerly employed by Paulson Investment Company LLC and Newport Coast Securities Inc. has been identified in a customer initiated investment related arbitration claim which was resolved for $23,000.00 in damages founded on accusations that between February of 2013 and March of 2019, a fiduciary duty […]

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Paulson Investment Company Sued For Fraud

March 26, 2020  |   Posted by :   |   Ponzi Schemes, Securities Arbitration Claims, Securities Fraud, Unregistered Securities   |   Comments Off on Paulson Investment Company Sued For Fraud

Kevin Richard Graetz of New York New York a stockbroker employed by Paulson Investment Company LLC has been identified in a customer initiated investment related arbitration claim which was resolved for $225,000.00 damages founded on accusations that the customer was placed into unregistered and fraudulent investments during the time that Graetz was employed by Paulson […]

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FINRA Sanctions Paulson For Sale of Unregistered Securities

Paulson Investment Company LLC a securities broker dealer headquartered in Chicago Illinois has been censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that the securities broker dealer engaged in the unregistered offer and sale of private placements. Letter of Acceptance Waiver and Consent No. 2018056269003 (Jan. 31, 2020). According to […]

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Investors Sue Paulson Investment Company For Fraud

John Alexander Tarpinian of New York New York a stockbroker formerly registered with Paulson Investment Company LLC and Newport Coast Securities is referenced in a customer initiated investment related arbitration claim in which the customer sought unspecified damages founded on accusations that between February of 2013 and March of 2019: (1) fiduciary obligations were breached […]

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Investors Accuse Paulson Of Failure To Sell Penny Stocks

Eugene Lee Webb (also known as Gene Webb) of Lake Oswego Oregon a stockbroker currently registered with Paulson Investment Company LLC is the subject of a customer initiated investment related written complaint which was settled for $47,597.23 on May 3, 2019 based upon accusations that the customer’s instructions of liquidating Biotricity penny stock positions had […]

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Paulson Investment Company Sued By Investors For Sale of Unregistered Securities

Minish Joe Hede (also known as Minish Mohan Hede) of New York New York a stockbroker formerly employed by Paulson Investment Company LLC is the subject of a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages based upon accusations that the customer had been placed into unregistered and fraudulent securities […]

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FINRA Bars Paulson Stockbroker In Investigation

Kevin Richard Graetz of Portland Oregon a stockbroker formerly registered with Paulson Investment Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Graetz neglected to respond to FINRA’s information request potentially relating to his disclosures of customer initiated investment related disputes or his […]

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FINRA Sanctions Paulson Stockbroker For Unauthorized Trading

Michael Patrick Nixon of Tampa Florida a stockbroker currently registered with Paulson Investment Company LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Nixon executed trades in accounts of Paulson Investment Company customers without written authorization from either customers or […]

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Paulson Stockbroker Sanctioned By FINRA For Unauthorized Trading

Matthew David Albers of Vienna Virginia a stockbroker formerly registered with Paulson Investment Company LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that trades were placed by Albers in customer accounts without authorization. Letter of Acceptance Waiver and Consent No. […]

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Paulson Stockbroker Caught Selling Away

Zvi Ben-Zvi of New York New York a stockbroker formerly registered with Paulson Investment Company has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Ben-Zvi engaged in unapproved private securities transactions during the time he was associated with […]

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Paulson Broker Barred For Failure To Respond To FINRA

March 22, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Minish Joe Hede of New York New York is a stockbroker formerly registered with Paulson Investment Company LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to provide a response to FINRA’s request for information pertaining to Hede’s activities. FINRA […]

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Paulson Stockbroker Fired For Unsuitable Recommendation

March 16, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Christopher Charles Degroat of Portland Oregon is a stockbroker formerly registered with Paulson Investment Company LLC who has been fired on July 26, 2017 founded on accusations that he made an investment recommendation that was not suitable for the customer and furnished fake subscription documentation to Paulson Investment Company to effect transactions. Financial Industry Regulatory […]

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Paulson Investment Company Fired In Fraud Investigation

May 25, 2017  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

Minish Joe Hede, of New York, New York, a stockbroker formerly registered with Paulson Investment Company LLC, was terminated from employment on April 28, 2017, based upon allegations that he was uncooperative in the firm’s investigation of a customer initiated investment related arbitration claim, in which the customer’s claim was based upon allegations of fraud. […]

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Paulson Investment Sued for Fraud

March 31, 2017  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

Kevin Richard Graetz, of New York, New York, a stockbroker currently registered with Paulson Investment Company LLC, has been named in a customer initiated investment related written complaint on December 22, 2016, in which the customer requested $1,000,000.00 in damages based upon allegations that Graetz sold away from his firm, and made fraudulent omissions and […]

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