Update For Investors: Broker Paul Falcon

AdobeStock_112465076-1-300x164Stoltmann Law Offices continues to investigate Aegis Capital broker Paul Falcon, who allegedly recommended unsuitable investments, executed unauthorized trades, made excessive transactions and recommended investments that performed properly. In April 2017, a customer alleged that Mr. Falcon recommended unsuitable investments, executed unauthorized trades, made excessive transactions and recommended investments that performed poorly. That complaint is currently pending. He has other customer complaints against him. These are all against securities rules and regulations and internal firm rules. Falcon’s former brokerage firm, Aegis Capital, may be held liable for investment losses, as it failed to reasonably supervise his actions while he was employed there. Investment losses may be recovered on a contingency fee basis.
According to his online report with the Financial Industry Regulatory Authority (FINRA), Paul Falcon was previously registered with The Equitable Life Assurance Society of the United States, Equico Securities, GKN Securities, Waterhouse Securities, Citicorp Investment Services, First Union Brokerage Services, Wachovia Securities, Allstate Financial Services, Statetrust Investments and Global Strategic Investments in Miami, Florida from September 2011 until July 2013. He is currently registered with Aegis Capital Corp in Boca Raton and Miami, Florida and has been since July 2013. He has five customer disputes against him, one of which is currently pending.

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