Paul Edward Soll, former stockbroker for Western International Securities, fails to comply with FINRA investigation into trading abuses and is barred from industry

By August 3, 2018Elder Fraud

Paul Soll (Paul Edward Soll) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Paul Soll.

In July 2018 Paul Soll was barred indefinitely from practicing as a broker. Paul Soll worked for Western International Securities in Los Angeles, California from 2017 to 2018.

Paul Soll was previously associated with Financial West Group; SRM Securities, Inc; Oppenheimer & Co., Inc.

FINRA alleges that Paul Soll engaged in the following misconduct: failure to comply with FINRA investigation after allegations of trading abuses.

FINRA was investigating customer allegations that Soll engaged in “churning,” or excessive trading, in an elderly customer’s account. Soll failed to comply with the investigation when he did not provide the requested documents or on-the-record testimony. As a result, Soll was indefinitely barred from the industry in July of 2018. Soll has neither admitted nor denied FINRA’s findings.

Paul Soll has been the subject of at least 1 customer disputes.

If you invested money through Paul Soll, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.