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Paul Hulen Of Raymond James & Associates And Formerly With Edward Jones Has 8 Customer Complaints For Alleged Broker Misconduct

Who is Paul Hulen of Raymond James & Associates?

Paul Hulen (CRD #2237101) who is currently registered with Raymond James & Associates and located in St Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Paul Hulen was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Paul Hulen Customer Complaints

Paul Hulen has been the subject of 8 customer complaints that we know about. One of Paul Hulen’s 8 customer complaints was settled in favor of investors. Seven of Paul Hulen’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Paul Hulen

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

  • Client alleged Paul Hulen was not managing her accounts in a responsible manner and has no way to replace the funds that she has lost.
  • Allegations of breach of fiduciary duty, negligence, and breach of SEC and NASD regulations; conversion and fraud by Paul Hulen.
  • Client alleged misrepresentation as to fees and commissions by Paul Hulen.
  • Client claimed due to Paul Hulen’s alleged mismanagement of their accounts, the value of their portfolio was reduced by 50%. Clients claimed the losses “grossly” exceeded their ability and willingness to front such risk to their savings.
  • Client claimed her objectives were incorrect. She claimed she is 66 years old and on a fixed income. Client claimed she did not need the money for 2 years, however, did not expect to have any aggressive investments.
  • Client is dissatisfied with the service and advice she received allegedly from Paul Hulen.
  • Cousin for client wrote stating the client was placed in all mutual funds and did not understand commissions nor was it explained that the income from the account could be taken out of her original principal investment.

Paul Hulen Red Flags & Your Rights As An Investor

Of course, Paul Hulen 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 Paul Hulen at Raymond James & Associates and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Paul Hulen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates and Edward Jones 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 Raymond James & Associates Due To Paul Hulen

If you have questions about Raymond James & Associates, Edward Jones, and/or Paul Hulen 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.

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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 $160 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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