Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Paul (Paul), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paul recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.
Claimant alleges breach of fiduciary duty, negligence, failure to supervise, violation of FINRA Rules and industry standards as the result of a withdrawal made on November 1, 2024.