Securities America Accused Of Misrepresentation
Harry Paez of Russellville Arizona a stockbroker formerly registered with Securities America Inc. is the subject of a customer initiated investment related written complaint on March 1, 2016 where the customer sought $72,191.00 in damages founded on allegations that Paez misrepresented the tax consequences of a variable annuity purchased by the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on August 31, 2001, a customer filed an investment related complaint involving Paez’s activities in which the customer requested $24,000.00 in damages based upon accusations that while Paez was associated with A.G. Edwards & Sons, Inc., over-the-counter equities transactions were placed in the customer’s account that failed to conform to the customer’s investment instructions.
Paez was terminated from A.G. Edwards & Sons on November 30, 2005 supported by allegations that he committed conduct violative of the policies of the firm.
Since September 22, 2017, Paez has been employed by St. Bernard Financial Services, Inc.
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