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Kevin Graetz Under Investigation by FINRA

Kevin Graetz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 15, 2016 indicate that New York-based Paulson Investment Company broker Kevin Graetz is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Graetz (CRD# 1935982).

Kevin Graetz has spent 25 years in the securities industry and has been registered with the Paulson Company in New York, New York since 2013. Previous registrations include Roth Capital Partners in New York, New York; Advanced Equities, which has been expelled by FINRA, in New York, New York; Oppenheimer & Company in New York, New York; Maxim Company in New York, New York; Ryan Beck & Company in Florham Park, New Jersey; HC Wainwright & Company in New York, New York; Josephthal & Company in New York, New York; Tucker Anthony in Boston, Massachusetts; Painewebber in Weehawken, New Jersey; Rosenkrantz Lyon & Ross in New York, New York; and Gruntal & Company. He is a registered broker with 36 US states and territories.

According to his BrokerCheck report, Kevin Graetz has received one pending FINRA complaint and three customer complaints.

In September 2016 Kevin Graetz was named respondent in a FINRA complaint alleging that “while registered with FINRA member firms, he failed to timely update his Form U4 to disclose tax liens totaling over $1 million within FINRA’s 30-day reporting deadline” and that he did so willfully, “in that he knew that he owed significant unpaid taxes and that he was subject to unsatisfied tax liens, but he nevertheless did not update his Form U4 to disclose those liens.” FINRA’s allegations continue thusly: “while he was subject to various unsatisfied tax liens, Graetz filed an initial Form U4 to register with a member firm, and the filing inaccurately and misleadingly indicated that he was not subject to any unsatisfied tax liens. Thereafter, amendments were filed to Graetz’s Form U4 which also inaccurately and misleadingly indicated that he was not subject to any unsatisfied tax liens.” The action remains pending.

In 2005 a customer alleged Kevin Graetz, while employed at Maxim Group, purchased an unsuitably large concentration of stock. The complaint settled for $9,000.

In 2004 a customer alleged Kevin Graetz, while employed at Maxim Group, mishandled the account. The complaint settled for $15,000.

In 2004 a customer alleged Kevin Graetz, while employed at Maxim Group, mishandled the account. The complaint settled for $75,000.

If you have lost money investing with Kevin Graetz, you may be able to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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