Paul Soll – Paul Edward Soll, Financial Advisor Barred from Securities Industry

Goodman & Nekvasil P.A., May Recover Investor Losses | Paul Soll – Paul Edward Soll, Financial Advisor Barred from Securities Industry 

Paul Soll was a previously licensed broker/financial advisor with Western International Securities, Inc. and Financial West Group in Los Angeles, California. FINRA reports that Paul Soll was barred from the securities and investment banking industry in July 2018.

ACCORDING TO FINRA:  Paul Soll consented to the sanction and to the entry of findings that Paul Soll refused to appear and provide on-the-record testimony to FINRA during the course of an ongoing examination involving potential trading abuses in an elderly customer's account.

According to Paul Soll’s CRD, a civil suit alleging sales practice violations against Paul Soll was filed alleging breaching of contract, breach of fiduciary duty, and misrepresentation in the sale of U.S. Treasury Bonds on a leveraged basis. According to Paul Soll’s CRD, this civil suit was settled for $660,574 by Oppenheimer & Co., Inc.

If you lost any money on investments with Paul Soll, you may be able to recover your losses. If you lost money on investments with Paul Soll and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Paul Soll’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Paul Soll and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

 

Back to Blogs

Contact Us For a Free Consultation

 
CAPTCHA
This question is for testing whether or not you are a human visitor and to prevent automated spam submissions.
12 + 8 =
Solve this simple math problem and enter the result. E.g. for 1+3, enter 4.