Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Paulson (Paulson), previously associated with Apw Capital, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Paulson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on June 22, 2023.
Breach of fiduciary duty by willfully and recklessly, disregarding the interests of the clients, by executing risky and authorized trading and margin borrowing, and by failing to exercise a reasonable degree of care, skill, prudence, and diligence in managing their accounts.
