Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that Florida-based Aegis Capital broker Paul Falcon has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Falcon (CRD# 2464566).
Paul Falcon has spent 20 years in the securities industry and has been registered with Aegis Capital Corporation in Boca Raton and Miami, Florida since 2013. Previous registrations include Global Strategic Investments in Miami, Florida; Statetrust Investments in Miami, Florida; Allstate Financial Services in Sunrise, Florida; Wachovia Securities in Hialeah, Florida; First Union Brokerage Services in Charlotte, North Carolina; Citicorp Investment Services in Long Island City, New York; Waterhouse Securities in Omaha, Nebraska; GKN Securities in New York, New York; Equico Securities in New York, New York; and the Equitable Life Assurance Society of the United States in New York, New York. He is a registered broker with five US states and territories.
According to his BrokerCheck report, Paul Falcon has received three customer complaints and one pending customer complaint.
In March 2017 a customer alleged Paul Falcon, while employed at Aegis Capital Corporation, recommended unsuitable investments, executed unauthorized trades, made excessive transactions and recommended investments that performed poorly. The customer is seeking $190,000 in damages in the pending complaint.
In 2001 a customer alleged he, while employed at First Union Securities, failed to follow instructions. The complaint settled for $2,000.
In 1999 a customer alleged he, while employed at Citicorp Investment Services, failed to fully explain an investment. The complaint settled for $15,000.
If you have lost money investing with Paul Falcon, you may be able to recover your losses. Call 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.