The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Paul Bustamante. Paul Bustamante was a New York based securities broker. He worked in the securities industry for seventeen years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Mclaughlin, Piven, Vogel Securities (2000-2006)
  • Bishop, Rosen & Co. (2006-2016)
  • Empire Asset Management Company (2016-2017)

The Allegations

Paul Anthony Bustamante’s publicly available FINRA BrokerCheck report shows that he was terminated from Empire Asset Management Company in December 2017. This followed allegations that he borrowed $20,000 from a client, which violated the firm’s policies.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Paul Bustamante, please contact Oakes & Fosher for a free and private consultation.