Paul Nathe Involved In Oppenheimer Co. Inc. Investor Dispute About Unauthorized Trading

Investors apparently complained about securities broker Paul Raymond Nathe [CRD: 2015831, Fishkill, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nathe worked for Oppenheimer Co. Inc. as a securities broker beginning on June 5, 2007, and he has been registered with the firm as a financial advisor since September 13, 2007. See the following information to find out more about Nathe’s disclosed client dispute history.

Oppenheimer Investor Accused Nathe Of Unauthorized Transactions

Also, an Oppenheimer Co. Inc. client filed FINRA Arbitration No. 24-01337 about Paul Nathe. Mainly, the client alleged that Nathe engaged in unauthorized trading. For this reason, the client allegedly sustained damages connected to stocks. Consequently, on September 24, 2025, a FINRA Arbitration Panel issued an Award ordering Oppenheimer Co. Inc. and Nathe to pay the client $152,000 in compensatory damages.

Paul Nathe Disclosed Failure To Follow Instructions Allegations By Merrill Lynch Client

Particularly, a client of Merrill Lynch Pierce Fenner Smith Inc. disputed Paul Nathe’s sales practices, according to a complaint dated March 19, 2001. Allegedly, Nathe failed to follow instructions. It appears that Nathe allegedly caused the client to sustain damages associated with over-the-counter equities and stocks. As a result, the client sought compensation from Merrill Lynch or Nathe in this matter. However, this complaint closed without a resolution.

Were You Impacted By Financial Advisor / Securities Broker Nathe?

Did you experience losses because of Paul Nathe? Contact Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the country. Also, our securities lawyers represent investors on a contingency fee arrangement and advance all costs. Nathe and brokerage firms Nathe worked for deny accusations of sales practice violations.