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Kevin Graetz Formerly With Paulson Investment Company Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Kevin Graetz formerly with Paulson Investment Company?

Kevin Graetz (CRD #1935982) who was formerly registered with Paulson Investment Company and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.

Kevin Graetz has had his own share of regulatory investigations.  He has been the subject of 2 FINRA investigations, the last of which resulted in a permanent bar for any further association with any member firm in any capacity for failing to cooperate and supply information in connection with 1 of its investigations.

Kevin Graetz Customer Complaints

Kevin Graetz has been the subject of 9 customer complaints that we know about. Five of Kevin Graetz’s 9 customer complaints were settled in favor of investors. Four of Kevin Graetz’s customers complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Kevin Graetz

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claimant alleged that Kevin Graetz sold him unregistered, fraudulent, and unapproved investments.
  • Client alleged that Kevin Graetz’s purchases of INB were unsuitable given her investment objectives.
  • Client alleged Kevin Graetz’s purchasing a large concentration of stock in INB which was unsuitable in size of purchase. Investment was brought on margin.
  • Client alleged sales practice violations in relation to private securities offerings by Kevin Graetz.
  • Customer alleged Kevin Graetz’s general mishandling of account.
  • Customer alleged fraud, negligent misrepresentations, negligence, and unjust enrichment by Kevin Graetz.
  • Customer alleged misconduct, fraudulent misrepresentations, omissions and selling away by Kevin Graetz.
  • Customer alleged that Kevin Graetz did not return his phone calls, that he lost approximately $185,000.00 that he did not authorize option trades, and that Kevin Graetz purchased and sold options without his authorization.

Kevin Graetz Red Flags & Your Rights As An Investor

Of course, Kevin Graetz did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Graetz at Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kevin Graetz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Paulson Investment Company Due To Kevin Graetz

If you have questions about Paulson Investment Company and/or Kevin Graetz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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