Paul Gershon – Financial Advisor Paul Gershon Previously Suspended from Securities Industry

Goodman & Nekvasil P.A., May Recover Investor Losses | Paul Gershon – Financial Advisor Paul Gershon Previously Suspended from Securities Industry 

Paul Gershon CRD #221357

Paul Gershon was previously licensed with RBC Capital Markets LLC and Oppenheimer & Co. Inc. FINRA reports that Paul Gershon was suspended for 15 business days and fined $5,000 in March 2019. FINRA reports that Paul Gershon consented to the sanction and to the entry of findings that Paul Gershon exercised discretion by placing 61 trades in 29 customer accounts. FINRA reports that Paul Gershon did not obtain authorization for these trades from any of these customers prior to placing the trades. Additionally, FINRA reports that Paul Gershon did not have written authorization from the customer to exercise discretionary authority in their accounts and Paul Gershon did not seek or obtain from RBC prior written acceptance of the accounts as discretionary.  

FINRA also reports that Paul Gershon was discharged from RBC Capital Markets, LLC on 9/20/18. RBC Capital Markets, LLC reported to FINRA that Paul Gershon was discharged after alleged violation of the Firm’s order execution policy.

If you lost any money on investments with Paul Gershon, you may be able to recover your losses from RBC Capital Markets and/or Oppenheimer & Co., Inc.  This is because RBC Capital Markets and Oppenheimer & Co., Inc. had a duty to supervise Paul Gershon.

Please contact us if you would like to discuss the possiblitiy of retaining our firm to represent you in an arbitration action against RBC Capital Markets and/or Oppeneimer & Co., Inc. concerning Paul Gershon’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 practicedi 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 invested with Paul Gershon 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. 

Paul Gershon, 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, Paul Gershon

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