Articles Tagged with Siddharth Reddy

shutterstock_102217105-300x200The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Siddharth Reddy (Reddy), recently employed by Paulson Investment Company LLC (Paulson Investment Company) has been subject to at least three  customer complaints during the course of his career.  According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. Reddy’s customer complaints alleges that Mr. Reddy recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. Mr. Reddy is no longer registered as a broker.

In September 2013, a customer complained that Mr. Reddy violated the securities laws by alleging that Mr. Reddy engaged in unsuitable investment advice. The claim settled in the amount of $200,000.

In September 2013, a customer complained that Mr. Reddy violated the securities laws by alleging that Mr. Reddy engaged in unsuitable investment advice, breach of fiduciary duty, breach of contract, and material misrepresentations.  The claim settled in the amount of $55,000.

In September 2012, a customer complained that Mr. Reddy violated the securities laws by alleging that Mr. Reddy engaged in unsuitable investment advice, breach of fiduciary duty, breach of contract, and material misrepresentations. The claim settled in the amount of $150,000.

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