Paul Seymour (CRD #: 2002154), a broker registered with Cadaret, Grant, & Co., has consented to a FINRA suspension, according to his BrokerCheck record, accessed on November 30, 2020. Mr. Seymour has entered into an Acceptance, Waiver & Consent (AWC) agreement with FINRA, which allows brokers to enter into a settlement agreement without admitting or denying the findings.
On October 14, 2020, Paul Seymour entered into an (AWC) in which he consented to the findings that he exercised unauthorized trading in a client’s account. Mr. Seymour consented to a 10-day suspension and a $5,000 fine. You can read a copy of the AWC here.
On July 6, 2006, a client alleged that Paul Seymour recommended an unsuitable mutual fund. The dispute was denied by the firm, which means that the matter simply wasn’t adjudicated.
On February 23, 1995, Paul Seymour was fired from his position at Pruco Securities, following allegations that he misappropriated funds and wrongfully took property.
Paul Seymour has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products/Variable Contracts Representative Examination. He is a registered broker in California, Colorado, Connecticut, Florida, Georgia, Idaho, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Vermont, and Virginia. He is a registered investment adviser in Texas.
During his three decades of experience, Mr. Seymour has worked at the following firms:
- New England Securities (CRD #: 615)
- Equity Services (CRD #: 265)
- The Prudential Insurance Company of America (CRD #: 680)
- Pruco Securities Corporation
If Paul Seymour was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.