Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions January 2017.”
Paul McLellan Alexander Jr. (CRD #4285605, Jupiter, Florida)
was assessed a deferred fine of $5,000 and suspended by FINRA for 20 business days because, allegedly against his member firm’s policies and procedures, he effected transactions while exercising discretion without prior written authorization in client accounts and without his firm accepting the accounts as discretionary.
The suspension was in effect from November 21, 2016, through December 19, 2016.
(FINRA Case #2015044036601)
According to FINRA’s BrokerCheck, Paul McLellan Alexander Jr., has 5 Customer Disputes listed on his report. He had been registered for 14 years, and his last two firms are listed below:
04/28/2009 - 04/10/2015 RAYMOND JAMES & ASSOCIATES, INC. - PALM BEACH GARDENS, FL
12/23/2001 - 05/01/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. - PALM BEACH GARDENS, FL
If you were a client of former Raymond James of Palm Beach Gardens, Florida, broker Paul McLellan Alexander Jr., and you experienced investment losses due to his actions or recommendations, call Soreide Law Group, conveniently based in South Florida, for a free consultation regarding the recovery of your financial loss at: 888-762-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis.
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