Paul Falcon is a Florida based securities broker. He has worked in the securities industry for twenty-two years. During his career, he has been registered with eleven different securities firms.
His registrations include; The Equitable Life Assurance Society of the United States (1994), Equico Securities (1994), GKN Securities Corp. (1994-1995), Waterhouse Securities, Inc. (1995-1996), Citicorp Investment Services (1996-1999), First Union Brokerage Services (2000), Wachovia Securities (2000-2006), Allstate Financial Services (2008-2009), Statetrust Investments Inc. (2009-2011), Global Strategic Investments (2011-2013), and Aegis Capital Corp. (2013-Present).
Paul Falcon’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In April 2017, a customer alleged unsuitable investment recommendations, unauthorized trading, excessive trading, and poor performance of their overall portfolio. This case was settled for $210,000 in damages.
In December 2018, a customer alleged negligence, breach of fiduciary duty, and breach of contract. This case is currently pending. The customer is seeking $1 million in 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 Falcon, please contact Oakes & Fosher for a free and private consultation.